Job Description
CREDPE is building a SEBI-compliant, Fintech Platforms and is looking to hire an Advisory Operations & Governance (SEBI RIA) or those who have RIA also to lead regulatory compliance and advisory governance as mandated under the SEBI (Investment Advisers) Regulations, 2013.
This is a critical leadership role, ideal for someone who has hands-on experience in SEBI-regulated environments and understands how compliant advisory businesses are built and scaled.
Key Responsibilities
- Act as the designated Principal Officer under SEBI RIA regulations
- Own end-to-end SEBI compliance, audits, filings, and regulatory interactions
- Be the primary point of contact with SEBI and compliance auditors
- Ensure strict adherence to fee-only advisory and fiduciary standards
- Oversee client onboarding, risk profiling, suitability, disclosures, and agreements
- Set up and monitor compliance policies, SOPs, and internal controls
- Handle investor grievance redressal and regulato...
This is a critical leadership role, ideal for someone who has hands-on experience in SEBI-regulated environments and understands how compliant advisory businesses are built and scaled.
Key Responsibilities
- Act as the designated Principal Officer under SEBI RIA regulations
- Own end-to-end SEBI compliance, audits, filings, and regulatory interactions
- Be the primary point of contact with SEBI and compliance auditors
- Ensure strict adherence to fee-only advisory and fiduciary standards
- Oversee client onboarding, risk profiling, suitability, disclosures, and agreements
- Set up and monitor compliance policies, SOPs, and internal controls
- Handle investor grievance redressal and regulato...
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