Website:
advizmo.com
Job details:
Company. Advizmo Investment Adviser India Private Limited
Location. Ahmedabad, India. Hybrid or remote within India considered for the right person.
Type. Full-time
Advizmo is a US-based, SEC-registered investment adviser building a personal finance app that automates investing, tax-loss harvesting, and cash management. We are currently live in the US and plan to launch in India in the next few months.
The role. We are looking for our Compliance Officer to own the compliance function as an independent voice in the business. You will build and run our compliance framework, keep us aligned with SEBI’s Investment Adviser rules, and be our primary point of contact with the regulator. This is a role with real authority and a seat close to the founders.
What you will do.
- Monitor compliance with the SEBI (Investment Advisers) Regulations, 2013, SEBI circulars, and the requirements of the BSE supervisory body for investment advisers.
- Build and maintain our compliance manual, code of conduct, and internal policies, and keep them current as rules change.
- Oversee client onboarding controls, including KYC, risk profiling, and suitability, and the records that support them.
- Review advisory communications and marketing material before release.
- Oversee the outputs of our automated advisory logic for consistency with suitability and disclosure obligations.
- Maintain books and records, prepare periodic regulatory filings, and coordinate the annual compliance audit.
- Run client grievance handling, including SCORES.
- Be the liaison with SEBI, BSE, auditors, and external counsel, and report compliance status to the Board.
What you need.
- A graduate degree, preferably in commerce, finance, or law.
- NISM Series III-A, Securities Intermediaries Compliance (Non-Fund) certification, or the ability to obtain it quickly.
- Working knowledge of the SEBI Investment Adviser framework.
- Based in India.
- Sound judgment, independence, and the confidence to escalate and to say no.
Nice to have.
- CA, CS, CMA, or LLB.
- NISM Series X-A and X-B.
- Prior compliance experience at an investment adviser, broker, AMC, or other SEBI-registered intermediary.
- Familiarity with fintech or automated advisory.
Details
- Type - Full-time
- Location - Remote / India
- Salary - Rs 58,000 to Rs 85,000 per month
- Hours - Some overlap with US Eastern time for reviews
Click on Apply to know more.
