Position: Principal Officer

Company: Abans Group

Location: Gift City (Gandhi Nagar)

Industry: Capital Markets

About Abans Group Abans Financial Services Ltd. is a listed, diversified financial services company offering a comprehensive suite of solutions across broking, commodity trading, asset management, financing, and investment advisory. Headquartered in Mumbai, the company operates with a strong presence in both Indian and global markets, serving institutional, corporate, and retail clients.

As part of the larger Abans Group, the company continues to expand its footprint by delivering integrated financial services and building robust technology platforms to support its growing client base.

Role Overview The Principal Officer is a designated employee of the CMI responsible for the overall supervision, management, and control of all activities of the Capital Market Intermediary. The role ensures full compliance with regulatory requirements, oversees operational integrity, and drives strategic initiatives within the organization.

Key Responsibilities

- Oversee and manage the overall operations and activities of the CMI.
- Ensure compliance with all applicable regulations, guidelines, and directives issued by the Authority and other regulatory

bodies.
- Develop, implement, and monitor internal controls, risk management practices, and operational procedures.
- Act as the primary point of contact for regulatory authorities, auditors, and other key stakeholders.
- Supervise teams involved in regulatory reporting, compliance checks, risk management, and related activities.
- Review and approve all regulatory submissions and reports to ensure accuracy and timeliness.
- Monitor market developments, regulatory changes,



and industry trends impacting CMI operations.
- Drive continuous process improvement, governance practices, and operational efficiency.
- Ensure that business activities are conducted ethically, transparently, and in alignment with regulatory expectations.
- Provide leadership, guidance, and training to internal teams on compliance and regulatory matters.

Eligibility Criteria Employment Requirement: Must be a full time employee of the CMI.

Educational Qualifications (as Per Regulatory Requirements) The candidate must possess any one of the following:

- A professional qualification, post-graduate degree, or post-graduate diploma (minimum one year) in:
- Finance, Law, Accountancy, Business Management, Commerce, Economics, Capital Market, Banking,

Insurance, Actuarial Science, Fintech, Science, Technology, Engineering, Mathematics
- From a university/institution recognized by the Central Government, State Government, or a recognized foreign

university/institution/association.
- CFA (Chartered Financial Analyst)
- FRM (Financial Risk Manager – GARP)
- Any other equivalent qualification as specified by the Authority.

Experience Requirements With Post-Graduate Qualification

- Minimum 3 years of relevant experience.

With Graduation (Bachelor’s) Degree
- Minimum 5–10 years of relevant experience (as per requirement provided):
- 10 years (general requirement)

Preferred Experience Areas

- Capital markets, securities markets, or financial services.
- Compliance, risk management, regulatory affairs, or audit.
- Experience interacting with regulatory bodies such as SEBI, IRDAI, RBI, etc.
- Experience handling governance, control frameworks, or process oversight.

📌 Principal Officer - Gift City (Gandhinagar)
🏢 Abans Finserv
📍 Gandhinagar