Advisory Operations & Governance (SEBI RIA)

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 regulatory reporting
• Guide founders and teams on regulatory dos & donts while scaling the business

Mandatory Eligibility (SEBI-Aligned

• Education: PG in Finance / Commerce / Economics / Business / Law
• or professional qualification (CA / CS / CMA / CFA / CFP)
• Experience: Minimum 1+ years in investment advisory, wealth management, portfolio advisory, compliance, or capital markets
• Certification: SEBI-mandated certifications (e.g., NISM Investment Adviser Level 1 & 2 )
• Must satisfy SEBI Fit & Proper criteria
• Clean regulatory and professional track record

Employment Structure

• Full-time, senior management role
• Fixed salary (no commissions or product-linked incentives)
• Direct reporting to Board / Founder
• Authority to stop any non-compliant activity

Why Join CREDPE?

• Build a SEBI RIA platform from the ground up
• High ownership, visibility, and leadership impact
• Opportunity to shape compliance and advisory frameworks early

Interested candidates may apply via LinkedIn or share their profile highlighting SEBI RIA experience.

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