Principal Officer - Research Analyst

Job Description

Why Join Us We are seeking a Principal Officer for our advisory business unit. We are building the best-in-class solution for investing in Mutual Funds. We are committed to innovation and excellence in the wealth management space. Location: HSR Layout, Bangalore Key Responsibilities - Oversee research activities, including the preparation, review, and publish of research reports and recommendations. - Develop, implement, and periodically review internal policies and procedures to ensure robust research processes and compliance. - Identify and manage conflicts of interest, ensuring transparent and fair research practices. - Coordinate with internal and external auditors for compliance checks and promptly address any observations. - Act as the primary point of contact with SEBI and other regulatory bodies for all research analyst-related matters. - Ensure accurate and timely maintenance of records as required under SEBI regulations. - Stay updated on regulatory developments and industry best practices, implementing changes as necessary. - Assist in developing automated solutions for dissemination of recommendations to users. - Coordinate, liaise & support with external counsels, consultants, regulatory authorities for SEBI, MCA & RBI compliances. Requirements - A professional qualification or post-graduate degree or post graduate diploma in finance, accountancy, business management, commerce, economics, capital market, financial services or markets. - Minimum 5 years of relevant experience in research analysis, investment advisory, or related financial services. - NISM-Series-XV: Research Analyst Certification (mandatory can take the certification after joining). - Excellent communication and teamwork abilities. - Strong analytical skills with a proactive risk management approach.