8 Sapient Wealth Advisors Brokers Principal Officer Gift City Operations Ca Cfa Cs jobs in Gandhinagar

We are looking for a Principal Officer for our Asset Management Business at Gift City, Ahmedabad.

Qualification :

• CA / CS / CMA / CFA / FRM certification from respective institutes.

OR

• Post-graduate degree or post-graduate diploma in Finance, Law, Accountancy, Business Management, Commerce, Economics, Capital Market, Banking, Insurance, or Actuarial Science from a recognized Indian or foreign university, institution, or association.

Experience:

• 5+ years of relevant experience in Securities Market specialized into dealing experience, with strong understanding of trading platforms and risk controls.
• Familiarity with capital market operations, settlement systems, and compliance processes.

Roles and Responsibilities:

• Oversee daily dealing activities and ensure compliance with all regulatory requirements.
• Serve as the principal liaison with regulatory bodies such as SEBI, IFSCA, RBI, and others.
• Monitor trading activity and implement robust internal controls.
• Drive implementation of policies, risk management systems, and operational processes in line with best practices.
• Support basic research into market trends, financial products, and business developments.
• Collaborate with internal departments including compliance, risk, and operations.
• Stay abreast of regulatory changes and assess their implications for the business.
• Play an active role in strategic initiatives, product launches, and technology adoption.

We are looking for a Principal Officer for our Asset Management Business at Gift City, Ahmedabad.

Qualification :

• CA / CS / CMA / CFA / FRM certification from respective institutes.

OR

• Post-graduate degree or post-graduate diploma in Finance, Law, Accountancy, Business Management, Commerce, Economics, Capital Market, Banking, Insurance, or Actuarial Science from a recognized Indian or foreign university, institution, or association.

Experience:

• 5+ years of relevant experience in Securities Market specialized into dealing experience, with strong understanding of trading platforms and risk controls.
• Familiarity with capital market operations, settlement systems, and compliance processes.

Roles and Responsibilities:

• Oversee daily dealing activities and ensure compliance with all regulatory requirements.
• Serve as the principal liaison with regulatory bodies such as SEBI, IFSCA, RBI, and others.
• Monitor trading activity and implement robust internal controls.
• Drive implementation of policies, risk management systems, and operational processes in line with best practices.
• Support basic research into market trends, financial products, and business developments.
• Collaborate with internal departments including compliance, risk, and operations.
• Stay abreast of regulatory changes and assess their implications for the business.
• Play an active role in strategic initiatives, product launches, and technology adoption.

Job Summary    

The Principal Officer is a senior leadership position responsible for ensuring that the Fund Management Company operates in full compliance with the IFSCA (Fund Management) Regulations and other applicable laws. This role oversees the fund’s operations, ensures adherence to regulatory guidelines, manages risk, and maintains effective communication with regulators, investors, and stakeholders. The Principal Officer will lead the fund management team to achieve operational and strategic objectives while upholding the highest standards of integrity and professionalism.

Key Responsibilities    

• Ensure compliance with all IFSCA regulations, guidelines, and other relevant legal requirements.
  

• Oversee the implementation of investment strategies, ensuring alignment with the fund’s approved mandate and regulatory framework.
  

• Act as the primary point of contact for IFSCA and other regulatory bodies, managing all required interactions and submissions.
  

• Prepare and submit timely and accurate reports, disclosures, and documentation to IFSCA and stakeholders.
  

• Develop, implement, and monitor comprehensive risk management policies and compliance protocols.
  

• Lead, mentor, and develop the entire fund management team, fostering a culture of excellence and regulatory adherence.
  

• Stay updated on regulatory changes and ensure the fund adapts proactively to maintain compliance.
  

• Review and approve investment decisions, ensuring consistency with the fund’s risk appetite and objectives.
  

• Ensure transparent and timely communication with investors, including performance updates and financial reports.
  

• Represent the company in regulatory meetings, industry forums, and investor engagements.
  

• Ability to communicate with effectively and respond to the Board of Directors, Regulatory Authorities, and Stakeholders with clarity, accuracy, and professionalism.
  

Qualifications and Experience    

• The candidate must hold an MBA in Finance from a recognized university, with a strong foundation in corporate finance, analysis, and leadership. A CA qualification or other professional/postgraduate degree in finance, law, accountancy, business, economics, or capital markets—recognized by IFSCA or any Indian/foreign regulator—will be considered an added advantage.
  

• At least 5 years of experience as Fund Manager in Asses Management Company.
  

• In-depth knowledge of IFSCA regulations and the operational framework of International Financial Services Centres (IFSCs).
  

• Proven expertise in compliance, risk management, and investment strategy execution.
  

• Experience in international fund management or cross-border investments is highly desirable.
  

• Demonstrated ability to lead teams and manage complex operational and regulatory challenges.
  

Skills and Competencies    

• Exceptional leadership and team management capabilities.
  

• Outstanding verbal and written communication skills.
  

• Strong commitment to integrity, professionalism, and ethical standards.
  

• Advanced analytical and decision-making abilities, with a focus on navigating regulatory complexities.
  

• Proficiency in financial analysis tools and software.
  

• Additional Requirements    
  

• Willingness to relocate to GIFT City, Gujarat, if not already based there.
  

• Availability to travel domestically and internationally as required for business purposes.
  

Job Summary    

The Principal Officer is a senior leadership position responsible for ensuring that the Fund Management Company operates in full compliance with the IFSCA (Fund Management) Regulations and other applicable laws. This role oversees the fund’s operations, ensures adherence to regulatory guidelines, manages risk, and maintains effective communication with regulators, investors, and stakeholders. The Principal Officer will lead the fund management team to achieve operational and strategic objectives while upholding the highest standards of integrity and professionalism.

Key Responsibilities    

• Ensure compliance with all IFSCA regulations, guidelines, and other relevant legal requirements.
  

• Oversee the implementation of investment strategies, ensuring alignment with the fund’s approved mandate and regulatory framework.
  

• Act as the primary point of contact for IFSCA and other regulatory bodies, managing all required interactions and submissions.
  

• Prepare and submit timely and accurate reports, disclosures, and documentation to IFSCA and stakeholders.
  

• Develop, implement, and monitor comprehensive risk management policies and compliance protocols.
  

• Lead, mentor, and develop the entire fund management team, fostering a culture of excellence and regulatory adherence.
  

• Stay updated on regulatory changes and ensure the fund adapts proactively to maintain compliance.
  

• Review and approve investment decisions, ensuring consistency with the fund’s risk appetite and objectives.
  

• Ensure transparent and timely communication with investors, including performance updates and financial reports.
  

• Represent the company in regulatory meetings, industry forums, and investor engagements.
  

• Ability to communicate with effectively and respond to the Board of Directors, Regulatory Authorities, and Stakeholders with clarity, accuracy, and professionalism.
  

Qualifications and Experience    

• The candidate must hold an MBA in Finance from a recognized university, with a strong foundation in corporate finance, analysis, and leadership. A CA qualification or other professional/postgraduate degree in finance, law, accountancy, business, economics, or capital markets—recognized by IFSCA or any Indian/foreign regulator—will be considered an added advantage.
  

• At least 5 years of experience as Fund Manager in Asses Management Company.
  

• In-depth knowledge of IFSCA regulations and the operational framework of International Financial Services Centres (IFSCs).
  

• Proven expertise in compliance, risk management, and investment strategy execution.
  

• Experience in international fund management or cross-border investments is highly desirable.
  

• Demonstrated ability to lead teams and manage complex operational and regulatory challenges.
  

Skills and Competencies    

• Exceptional leadership and team management capabilities.
  

• Outstanding verbal and written communication skills.
  

• Strong commitment to integrity, professionalism, and ethical standards.
  

• Advanced analytical and decision-making abilities, with a focus on navigating regulatory complexities.
  

• Proficiency in financial analysis tools and software.
  

• Additional Requirements    
  

• Willingness to relocate to GIFT City, Gujarat, if not already based there.
  

• Availability to travel domestically and internationally as required for business purposes.
  

We are pleased to present an exciting opportunity for the role of Principal Officer with a new global healthcare fund being launched out of GIFT City, India. This fund is strategically focused on investing in the Indian healthcare market, with a significant emphasis on collaboration between the US and India.  

Fund Details :

Fund Size: The fund is valued between $150 million and $200 million.  

Investment Focus:  

• 25% of the fund will be allocated to investments in the global MedTech market.  

• 75% will focus on the Indian healthcare sector, including hospitals, pharmaceuticals, medtech, and other related areas. 

Requirements

• Provide leadership in the Fund’s overall management, including investment strategy, risk management, compliance, and operations. 

• Serve as the liaison between the fund and the International Financial Services Centres Authority (IFSCA)/other regulators. 

• Oversee all fund management activities, ensuring alignment with fund objectives and regulatory requirements. 

• Ensure adoption and implementation of robust AML/KYC, compliance, risk, and governance frameworks. 

• Monitor fund performance, reporting, and disclosure processes in accordance with regulatory and investor requirements. 

• Direct, train, and supervise staff to uphold high ethical, compliance, and operational standards. 

• Drive continuous assessment and improvement of fund controls, policies, and procedures. 

• Stay current on relevant laws, regulations, and industry trends. 

Candidate Profile & Eligibility 

• Professional degree, or postgraduate in finance, law, accountancy, business management, commerce, economics, capital market, banking, insurance, actuarial science, or equivalent recognized qualification. 

• At least 5 years of relevant experience in areas such as portfolio management, investment advisory, asset/fund management, or related financial services. 

• Demonstrated experience dealing with financial markets regulations. 

• Sound knowledge of IFSCA/SEBI/RBI/SEZ regulations (preferred). 

• Excellent communication, leadership, organizational, and stakeholder management skills. 

• Meets “fit and proper” person criteria. 

• Willingness to be physically based in GIFT City. 

Benefits

This role presents a unique opportunity to be part of a pioneering venture in the healthcare investment space, bridging opportunities between the US and India. If you are passionate about healthcare innovation and eager to make a significant impact, we encourage you to consider this opportunity.