Support SEBI-regulated investment adviser by ensuring regulatory adherence for a fintech robo-advice platform: monitor SEBI compliance, embed controls in onboarding and algorithms, draft policies (AML/KYC, data privacy), manage filings and audits, review client communications, run risk assessments, and train cross-functional teams for inspections and governance.
About Wahed:
We have a passion to reduce financial inequality and exclusion by building world leading financial products and services aimed at giving access to all. We are a New York headquartered Financial Technology (FinTech) company focused on serving values-based (shariah compliant) digital financial services to retail clients globally, starting with wealth management. We have an impressive global team aligned with this purpose and are looking for trail blazers in their fields that will take our customer delivery to new levels. We can promise you a digital first and truly international culture, as well as a fascinating immersion into the world of FinTech and Islamic finance.
Job Brief:
- We are seeking a sharp, proactive, and tech-savvy Compliance Executive to support the compliance and governance framework of a SEBI-registered Investment Adviser operating via a digital/fintech platform. This role will ensure regulatory adherence, risk control, and ethical delivery of automated or advisor-assisted investment advisory services, in line with SEBI norms and fintech best practices.
Job Description:
- Regulatory Compliance & Monitoring:
- Ensure compliance with SEBI (Investment Advisers) Regulations, 2013, including disclosure norms, suitability standards, risk profiling, and reporting obligations.
- Monitor compliance with circulars related to robo-advisory models, automated advice, data privacy, and digital onboarding.
- Manage regular and event-based SEBI filings, including annual audits and compliance certifications.
- Operational Compliance in a Digital Context:
- Implement and monitor compliance checks on the fintech platform’s onboarding flow, including digital KYC, client consent, and agreement modules.
- Ensure that automated advice algorithms comply with SEBI’s suitability and risk assessment guidelines.
- Collaborate with Product and Engineering teams to embed compliance controls into backend systems and UI/UX journeys.
- Policy Development & Governance:
- Assist in drafting and maintaining Compliance Manuals, AML/KYC Policies, Data Privacy Policies, and Disclosures on the platform.
- Ensure clarity and compliance in all digital communication: website disclosures, app content, push notifications, emails, social media posts, etc.
- Client Communication & Documentation Review:
- Review investment advice, client agreements, financial plans, and communications to ensure regulatory compliance.
- Ensure timely disclosures to clients regarding conflict of interest, fees, affiliations, and risk factors.
- Internal Audits & Risk Management:
- Assist in preparing for and responding to SEBI inspections and internal audits.
- Maintain records in accordance with regulatory guidelines (minimum 5 years).
- Conduct periodic risk assessments and compliance checks across departments.
- Training & Awareness:
- Conduct training for cross-functional teams (especially tech, product, sales) to raise awareness of SEBI rules and platform compliance responsibilities. Assist in preparing for SEBI inspections, tech audits, and internal governance reviews.
Job Specification:
- Bachelor’s or Master’s degree in Law, Finance, Accounting, or Business Administration.
- 2–5 years of relevant experience in compliance, legal, or regulatory roles, preferably in SEBI-regulated entities.
- Working knowledge of the SEBI IA Regulations, SEBI LODR, AML guidelines, and SEBI circulars applicable to RIA's
- Familiarity with audit processes and SEBI’s online systems (SCORES, SEBI Intermediary Portal, etc.).
- Preferred Certifications: NISM-Series-X-A and/or X-B: Investment Adviser (Level 1 and 2) – mandatory for client-facing roles, highly recommended for compliance staff
- Company Secretary (CS) or LL.B., CA, or CFA – preferred
Similar Jobs
Artificial Intelligence • Cloud • HR Tech • Information Technology • Productivity • Software • Automation
Lead the global strategic partnership with Cognizant to drive revenue via co-sell, co-deliver and sell-through motions across AMS, EMEA and APAC. Build multi-year joint GTM and business plans, govern alliance operations, engage cross-functional teams to expand pipeline, execute joint pursuits, enable joint offerings, track QBRs and executive sponsorship, and resolve roadmap conflicts to accelerate NNACV and showcase wins.
Top Skills:
AICloudSaaSServicenow
Artificial Intelligence • Cloud • HR Tech • Information Technology • Productivity • Software • Automation
Perform month- and quarter-end revenue allocation, data validation, reconciliations and commission audits; analyze deals with cross-functional partners; build monitoring frameworks and identify process improvements.
Top Skills:
Ai-Powered ToolsExcelPower BISQLTableau
Artificial Intelligence • Cloud • HR Tech • Information Technology • Productivity • Software • Automation
Design, develop, operate, and scale an enterprise container security program. Secure containerized workloads on Kubernetes, run dynamic security testing, interface with external researchers, report and recommend remediation to application owners, and validate fixes.
Top Skills:
Amazon BedrockArtifactoryAWSAzureCi/CdContainersDastDockerGCPGroovyJenkinsKubernetesNexusPythonSastScaTerraform
What you need to know about the Pune Tech Scene
Once a far-out concept, AI is now a tangible force reshaping industries and economies worldwide. While its adoption will automate some roles, AI has created more jobs than it has displaced, with an expected 97 million new roles to be created in the coming years. This is especially true in cities like Pune, which is emerging as a hub for companies eager to leverage this technology to develop solutions that simplify and improve lives in sectors such as education, healthcare, finance, e-commerce and more.
