Job Description:

- Act as the Principal Officer for the investment advisory business, as applicable.

- Ensure compliance with applicable SEBI (Investment Advisers) Regulations and other regulatory requirements.

- Oversee the investment advisory framework, policies, processes, and controls.

- Review investment advisory processes, client onboarding, risk profiling, and suitability requirements.

- Ensure appropriate disclosures, agreements, communications, and advisory-related documentation.

- Monitor regulatory changes and assess their impact on the SI Pro App.

- Work closely with Product, Technology, UX/UI, and Business teams to incorporate regulatory and compliance requirements into the digital product.

- Review digital product features, customer journeys, workflows,



and communication interfaces from an investment-advisory and compliance perspective.

- Provide compliance inputs during product development, feature launches, and product enhancements.

- Understand the product roadmap and ensure that regulatory requirements are considered during product planning and execution.

- Identify potential compliance gaps in the digital product and work with the Product and Technology teams to implement corrective measures.

- Coordinate with internal and external stakeholders on regulatory, compliance, and product-related matters.

📌 Investment Advisory (Mumbai)
🏢 Acme Services Private
📍 Mumbai