Investment Advisory
Acme Services
- Location
- Mumbai Metropolitan Region
- Job type
- Full-time
Required skills
- banking
- business management
- capital markets
- compliance
- product features
About the role
Acme Services
Website:
acme-services.in
Job details:
- Act as the Principal Officer for the investment advisory business, as applicable.
- Ensure compliance with applicable SEBI (Investment Advisers) Regulations and other regulatory requirements.
- Oversee the investment advisory framework, policies, processes, and controls.
- Review investment advisory processes, client onboarding, risk profiling, and suitability requirements.
- Ensure appropriate disclosures, agreements, communications, and advisory-related documentation.
- Monitor regulatory changes and assess their impact on the SI Pro App.
- Work closely with Product, Technology, UX/UI, and Business teams to incorporate regulatory and compliance requirements into the digital product.
- Review digital product features, customer journeys, workflows, and communication interfaces from an investment-advisory and compliance perspective.
- Provide compliance inputs during product development, feature launches, and product enhancements.
- Understand the product roadmap and ensure that regulatory requirements are considered during product planning and execution.
- Identify potential compliance gaps in the digital product and work with the Product and Technology teams to implement corrective measures.
- Coordinate with internal and external stakeholders on regulatory, compliance, and product-related matters.
Requirements
- A professional qualification or postgraduate qualification in Finance, Commerce, Economics, Business Management, Capital Markets, Banking, Insurance or a related field would be preferred.
- Employment Type: On roll/full time
- Location: Mumbai
- Certification: NISM Series X-A & X-B – Investment Adviser — Mandatory
- 5 Days Working
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