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Eton Solutions - Principal Officer - Regulatory Compliance & Governance

Eton Solutions and Technologies India LLPBangalore, India

1 day ago

Job description

Principal Officer ( NISM XA,XB)

Eton Solutions is a hypergrowth fintech transforming the Family Office segment of the Wealth Management industry.
Eton Solution's AtlasFive- is a comprehensive enterprise management platform specifically designed to allow todays modern Family Office meet the unique and varied

For More details please visit : https : / / eton-solutions.com /

Key Responsibilities :

Regulatory Compliance & Governance :

Act as Principal Officer under SEBI (Investment Advisers) Regulations, 2013.

Ensure full compliance with SEBI regulations, including periodic filings, disclosures, and inspections.

Oversee client KYC, risk profiling, and documentation as per SEBI guidelines.

Liaise with SEBI and other regulators for reporting and audits.

Investment Advisory & Client Management :

Develop client-specific financial plans, portfolio strategies, and asset allocations.

Deliver unbiased, research-backed investment recommendations.

Conduct regular portfolio reviews and client meetings to track financial goals.

Team Management & Operations :

Lead and mentor advisory, client servicing, and research teams.

Implement SOPs for onboarding, suitability assessment, and advisory delivery.

Ensure timely execution of advisory mandates and reporting to clients.

Risk Management & Audit :

Supervise internal compliance checks and audits.

Maintain records of client agreements, risk assessment, and recommendations.

Prepare MIS reports and compliance dashboards for management.

Key Skills & Competencies :

Strong knowledge of SEBI RIA regulations and fiduciary responsibilities.

Expertise in financial planning, wealth management, and investment advisory.

Strong client engagement, leadership, and communication skills.

Proficiency in financial planning tools, CRMs, and portfolio tracking software.

Education levels :

Must hold NISM Series-XA & XB certifications in Investment Advisory category.

Skills and Abilities and Other Characteristics :

Enthusiastic team player who enjoys both strategic and hands on work

Ability to analyze problems and develop creative solutions to complex product issues

Strong interpersonal, communication, and the ability to work effectively with all levels of employees

(ref : iimjobs.com)

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Compliance Officer • Bangalore, India

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