Advisory, Skilling & Compliance

Advisory skilling and compliance are critical, intertwined components of the financial services industry designed to ensure that investment advice is competent, ethical, and aligned with regulatory standards. As the financial landscape grows more complex, with increased oversight from bodies like SEBI in India and the SEC in the US, advisors must blend technical expertise with strict adherence to legal frameworks.

Key Aspects of Advisory Skilling

To provide high-quality, compliant advice, advisors must continuously upgrade their skills in several areas: 

• Technical Knowledge:Deep understanding of financial products, investment avenues (stocks, mutual funds, bonds), and market conditions.
• Regulatory Knowledge:Familiarity with SEBI, KYC (Know Your Customer), and AML (Anti-Money Laundering) norms.
• Advisory Skills:Ability to perform risk profiling, asset allocation, and deliver personalized financial planning.
• Digital Proficiency:Competence in using CRM software, digital storage, and cybersecurity protocols.
• Certification:NISM certification for Investment Advisers (Level 1 & 2) in India, which requires passing exams to demonstrate proficiency.