Principal Officer - Registered Investment Advisor (5-15 Yrs)

Principal Officer of a Corporate Registered Investment Advisor (under SEBI RIA guidelines).
Qualifications:
1. Professional degree / post-graduate in finance (CA is also fine)
2. Minimum 5 years experience in Investment Advisory
3. Has passed RIA - NISM Level 1 and Level 2 Exams and has these certifications currently active
Job Description:
1. Support licensing process to obtain new RIA license from SEBI - Candidate will be expected to front the application process and respond to all queries from the regulator
2. Provide investment advise to clients in line with regulations :
- Perform KYC
- Understand client needs and preferences,
- Develop investment plans and
- Periodically review portfolio performance
3. Responsible for all compliance matters and communications with SEBI:
- On-going periodical submission of returns to SEBI
- Responding to queries from the regulator
- Client compliant resolution
4. Recruit, train and manage team of Investment Advisors:
- Develop in-house training modules
- Ensure quality of investment advice through periodical training
- Ensure up-to-date certifications of Investment Advisors