Principal Officer Investment Advisory Regulatory Compliance Location Mohali Punjab Work Mode FullTime Onsite Role Overview We are looking for a Principal Officer to lead regulatory investmentadvisory and compliance functions for our AIpowered 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 clientfacing recommendations remain aligned with applicable SEBI requirements Key Responsibilities Own and oversee investment advisory and regulatory compliance for the platform Review and supervise research AIgenerated market insights trading signals and advisory outputs Establish and maintain appropriate SEBIcompliant 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 investorrisk profiling suitability disclosures and grievancehandling processes Mandatory Preferred Qualifications NISMSeriesXA Investment Adviser Level 1 certification NISMSeriesXB Investment Adviser Level 2 certification NISMSeriesXV 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 Consideration Candidates 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 casebycase basis and reimbursement support for eligible certification costs may be provided by the company on a casebycase basis Ideal Candidate A capitalmarkets qualified with strong regulatory awareness who can bridge SEBI compliance investment research advisory and an AIdriven trading technology platform Work Location In person