Wahed Invest

1 year ago

Compliance Executive

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 14 hours agoStatus: Live

Job Summary

The Compliance Executive will oversee regulatory compliance and governance for a SEBI-registered investment adviser operating a fintech platform. You’ll ensure adherence to SEBI IA Regulations, manage onboarding and data privacy controls, collaborate with product and engineering to embed compliance, draft policies, and support SEBI inspections with risk assessments and training across tech, product, and sales.

Location: India

Workplace: Hybrid

Employment Type: Full time

Job Function: Legal, Risk & Compliance

Seniority: Mid level

Key Responsibilities

•Ensure regulatory compliance with SEBI Regulations and ongoing reporting obligations across the platform.
•Monitor compliance with circulars related to robo-advisory models, data privacy, digital onboarding, and disclosures.
•Collaborate with Product and Engineering to embed compliance controls into backend systems and user journeys.
•Draft and maintain Compliance Manuals, AML/KYC Policies, Data Privacy Policies, and platform disclosures.
•Assist in SEBI inspections, audits, and risk assessments, including maintaining records for at least 5 years.

Key Requirements

•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 RIAs.
•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

Experience:2-5 yearsSEBI-regulated

Education:Bachelor's

Skills:RegulatoryCommunicationRisk managementAttention to detailProblem-solving

Certifications:NISM-Series-X-AX-B: Investment Adviser (Level 1 and 2)

Tech Stack:SEBI SCORESSEBI Intermediary PortalAML/KYC softwareOnboarding platforms

Company Brief

Wahed Invest

Provides a Shariah-compliant robo-advisory platform offering halal investment portfolios, automated investing, and financial planning tools for Muslim and ethical investors across multiple markets.

Industry: Wealth Management

Company Size: Large (251 to 1,000 employees)

Growth: Scaleup

Headquarters: New York, United States

Founded: 2015

Website LinkedIn

Loading job details...

Preparing the role view and application actions.

Wahed Invest

1 year ago

Compliance Executive

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 14 hours agoStatus: Live

Job Summary

Location: India

Workplace: Hybrid

Employment Type: Full time

Job Function: Legal, Risk & Compliance

Seniority: Mid level

Key Responsibilities

•Ensure regulatory compliance with SEBI Regulations and ongoing reporting obligations across the platform.
•Monitor compliance with circulars related to robo-advisory models, data privacy, digital onboarding, and disclosures.
•Collaborate with Product and Engineering to embed compliance controls into backend systems and user journeys.
•Draft and maintain Compliance Manuals, AML/KYC Policies, Data Privacy Policies, and platform disclosures.
•Assist in SEBI inspections, audits, and risk assessments, including maintaining records for at least 5 years.

Key Requirements

•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 RIAs.
•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

Experience:2-5 yearsSEBI-regulated

Education:Bachelor's

Skills:RegulatoryCommunicationRisk managementAttention to detailProblem-solving

Certifications:NISM-Series-X-AX-B: Investment Adviser (Level 1 and 2)

Tech Stack:SEBI SCORESSEBI Intermediary PortalAML/KYC softwareOnboarding platforms

Company Brief

Wahed Invest

Provides a Shariah-compliant robo-advisory platform offering halal investment portfolios, automated investing, and financial planning tools for Muslim and ethical investors across multiple markets.

Industry: Wealth Management

Company Size: Large (251 to 1,000 employees)

Growth: Scaleup

Headquarters: New York, United States

Founded: 2015

Website LinkedIn