Job Title: Principal Officer - PMS

Location: Noida

Job Description:

Fincart is seeking a qualified professional to support the operations and compliance

function of its Portfolio Management Services (PMS) division. The ideal candidate will

ensure regulatory compliance with SEBI guidelines and assist in the operational setup

and ongoing management of PMS.

Key Responsibilities:

Ensure regulatory compliance in line with SEBI (Portfolio Managers)

Regulations.

Coordinate the PMS license application process, including documentation and

communication with SEBI.

Assist in maintaining infrastructure, including office, equipment, and records, as

per regulatory requirements.

Ensure timely reporting and adherence to compliance policies.

Liaise with internal stakeholders, including the principal officer and fund

managers.

Maintain compliance records, filings, and investor disclosures.

Support in the onboarding of clients and the preparation of necessary

agreements and KYC documentation.

Assist in audit and inspection processes.

Eligibility & Requirements:

For Principal Officer (if applicable):

Graduate with a professional qualification in law, finance, accountancy, business

management, or CFA.

Minimum 5 years of relevant experience in securities market activities (e.g., PMS,

stock broking, investment advisory, research analysis, fund management).

Minimum 2 years of specific experience in PMS / investment advisory/fund

management.

Mandatory certification: NISM Series-XXI-B (Portfolio Management Certification).

For Other Key Personnel:

Graduate with at least 2 years of relevant experience in securities markets

(portfolio management, stockbroking, research, advisory, etc.).

Other Requirements:

Should not have any pending litigation or convictions involving moral turpitude.

Must meet the fit and proper person criteria as per SEBI regulations.

Demonstrated understanding of SEBI guidelines and compliance environment.

Compensation:

As per industry standards and based on experience & qualification.

Senior Fund Manager