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 solid 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.
Pr

📌 Principal Officer (Gandhinagar)
🏢 Abans Finserv
📍 Gandhinagar