Compliance Executive

Wahed

Compliance Executive in a FinTech company ensuring regulatory adherence and ethical delivery of investment advisory services. Focused on compliance, risk control, and policy development.

Posted 6/15/2026full-time🇮🇳 IndiaJuniorMid-LevelWebsite

About the role

Key responsibilities & impact

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.
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.
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.
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.
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.
Conduct training for cross-functional teams (especially tech, product, sales) to raise awareness of SEBI rules and platform compliance responsibilities.

Requirements

What you’ll need

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

Benefits

Comp & perks

Health insurance
Professional development opportunities

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

compliancerisk profilingautomated advice algorithmsdigital KYCAML/KYC Policiesdata privacyregulatory complianceaudit processesrisk assessmentscompliance checks

Soft Skills

collaborationcommunicationtrainingattention to detailorganizational skills

Certifications

NISM-Series-X-ANISM-Series-X-BCompany Secretary (CS)LL.B.CACFA