Principal Officer – Investment Advisory & Regulatory Compliance
Location: Mohali, Punjab | Work Mode: Full-Time, Onsite
Role Overview
We are looking for a Principal Officer to lead regulatory, investment-advisory and compliance functions for our AI-powered stock market advisory platform covering Equities, F&O and Commodities (MCX). The role will work closely with the leadership and product/AI teams to ensure that advisory processes, research outputs, risk disclosures and client-facing recommendations remain aligned with applicable SEBI requirements.
Key Responsibilities
- Own and oversee investment advisory and regulatory compliance for the platform.
- Review and supervise research, AI-generated market insights, trading signals and advisory outputs.
- Establish and maintain appropriate SEBI-compliant advisory, disclosure, documentation and audit frameworks.
- Coordinate with product, AI/ML and technology teams to ensure regulatory considerations are incorporated into the advisory engine.
- Review recommendations across equity cash, derivatives and commodities from a regulatory and investment perspective.
- Monitor compliance with applicable SEBI/RIA/RA requirements, policies and regulatory updates.
- Support regulatory registrations, audits, documentation and ongoing compliance requirements.
- Help establish appropriate investor-risk profiling, suitability, disclosures and grievance-handling processes.
Mandatory / Preferred Qualifications
- NISM-Series-X-A: Investment Adviser (Level 1) certification.
- NISM-Series-X-B: Investment Adviser (Level 2) certification.
- NISM-Series-XV: Research Analyst certification.
- Strong understanding of SEBI regulations, investment advisory, research and capital markets.
- Good knowledge of Equities and Derivatives; exposure to MCX/commodities is an advantage.
- Prior experience in Investment Advisory / Research / Capital Markets / Wealth Management / FinTech compliance will be preferred.
Flexible Certification Consideration
Candidates who currently hold Equities & Derivatives certifications and are willing to complete the required NISM Investment Adviser Level 1 & Level 2 certifications may also be considered.
Candidates with one or more certifications/exams pending are welcome to apply. Certification requirements will be evaluated on a case-by-case basis, and reimbursement/support for eligible certification costs may be provided by the company on a case-by-case basis.
Ideal Candidate
A capital-markets professional with strong regulatory awareness who can bridge SEBI compliance, investment research/advisory and an AI-driven trading technology platform.
Work Location: In person
