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Principal Officer

1.00 to 10.00 Years Mohali 31 Aug, 2026

Job Location	Mohali
Education	Not Mentioned
Salary	Not Disclosed
Industry	Others
Functional Area	Not Mentioned
EmploymentType	Full-time

Job Description

Principal Officer Investment Advisory & Regulatory ComplianceLocation: Mohali, Punjab | Work Mode: Full-Time, OnsiteRole OverviewWe 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 ResponsibilitiesOwn 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 QualificationsNISM-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 ConsiderationCandidates 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 CandidateA 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 .

Keyskills :
SEBI regulationsinvestment advisoryresearchcapital marketsEquitiesDerivativesMCXcommoditiesWealth Management

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