Job Description: Research & Compliance Officer
Company: Bluestrides Financial Services Private Limited (SEBI-Registered Investment Adviser) Bluestrides.com Location: Hyderabad, Telangana Employment Type: Full-Time Experience Level: 1–6 years (Accounting/Finance background)
About Bluestrides
Bluestrides is a SEBI-registered Investment Adviser (RIA) committed to providing transparent, research-driven, and client-first investment advisory services. We are building a lean, high-integrity team focused on rigorous compliance standards and sound investment research.
Role Overview
We are looking for a Research & Compliance Officer who will play a dual role — ensuring the firm's adherence to SEBI (Investment Advisers) Regulations and other applicable regulatory frameworks, while also contributing to investment research and analysis that supports client advisory decisions. This role is ideal for a candidate with a strong accounting/finance foundation who is detail-oriented, analytically sharp, and comfortable working in a regulated financial services environment.
Key ResponsibilitiesResearch
- Conduct fundamental research on equities, mutual funds, and other financial instruments to support advisory recommendations.
- Track macroeconomic indicators, sector trends, and company financials (balance sheet, P&L, cash flow analysis).
- Prepare research notes, model portfolios, and periodic market/economic outlook reports.
- Support the advisory team with back-testing, performance attribution, and portfolio review analysis.
- Assist in preparing client-facing research communication (fact sheets, newsletters, portfolio reviews).
Compliance
- Ensure ongoing compliance with SEBI (Investment Advisers) Regulations, 2013, and other applicable circulars/guidelines issued by SEBI.
- Maintain and update statutory registers, client agreements, risk profiling documents, and disclosure records as mandated by SEBI.
- Prepare and file periodic regulatory returns, reports, and SEBI compliance certificates (e.g., annual compliance audit, net worth certificates).
- Monitor changes in SEBI regulations and circulars; assess impact on firm operations and recommend policy updates.
- Maintain KYC, suitability assessment, and risk profiling documentation for clients.
- Coordinate with internal/external auditors and legal counsel on compliance audits and inspections.
- Maintain records related to grievance redressal (SCORES) and ensure timely resolution of client complaints.
- Assist in drafting and updating internal SOPs, code of conduct, and compliance manuals.
Accounting/Finance Support
- Apply accounting knowledge to analyze financial statements of companies for research purposes.
- Assist in maintaining firm-level financial records, expense tracking, and coordination with the accounts team/CA for statutory filings (GST, TDS, ROC as applicable).
- Support budgeting and MIS reporting for internal management review.
Required Qualifications & Skills
- Education: Bachelor's/Master's degree in Commerce, Accounting, Finance, Economics, or related field. CA (Inter/Final), CFA, CS, or NISM certifications (especially NISM-Series-X-A/X-B for Investment Advisers) will be a strong plus.
- Experience: 1–6 years in accounting, financial research, compliance, or related roles — preferably within a broking firm, RIA, AMC, or financial services company.
- Strong understanding of financial statements, ratio analysis, and valuation concepts.
- Working knowledge of SEBI regulations governing investment advisers, mutual funds, or securities markets.
- Proficiency in MS Excel (financial modeling, data analysis); familiarity with tools like Bloomberg, Screener, Ace Equity, or similar is a plus.
- High attention to detail and strong documentation/record-keeping discipline.
- Good written and verbal communication skills for report writing and regulatory correspondence.
- Ability to work independently in a small, fast-paced team environment.
Preferred Attributes
- Prior experience working directly with SEBI-registered intermediaries (RIA, RA, PMS, AMC, or broking).
- Exposure to compliance audits, SEBI inspections, or regulatory filings.
- Genuine interest in equity markets and investment research.
What We Offer
- Direct exposure to both compliance and investment research functions in a regulated financial services setup.
- Opportunity to work closely with senior management/founders.
- A collaborative, growth-oriented environment with scope to build domain expertise in RIA compliance and research.
Bluestrides is an equal opportunity employer.
Pay: ₹300,000.00 - ₹360,000.00 per year
Education:
Location:
- Hyderabad, Telangana (Hyderabad, Hyderabad District) (Required)
Work Location: In person
