Details of the Organization

At Wahed, theye are driven by a mission to reduce financial inequality and exclusion by offering world-class, values-based financial products that provide universal access. Headquartered in New York, we are a pioneering FinTech company delivering Shariah-compliant digital financial services to retail clients globally—starting with wealth management. 

Details of the Job/Internship

Wahed is hiring for the position of Compliance Executive with 2-5 years of experience to join their office in Mumbai. 

Role and Responsibilities

1. Regulatory Compliance & Monitoring

• Ensure adherence to SEBI (Investment Advisers) Regulations, 2013, including suitability assessments, risk profiling, disclosures, and reporting standards.
• Monitor compliance with SEBI circulars relevant to robo-advisory models, automated investment advice, data protection, and digital onboarding.
• Manage regulatory filings, including annual audits, compliance reports, and responses to SEBI communications.

2. Operational Compliance (FinTech Focus)

• Oversee compliance within the digital onboarding process, including e-KYC, client consents, and agreements.
• Ensure automated advisory algorithms comply with SEBI’s risk and suitability frameworks.
• Partner with Product and Engineering teams to embed compliance controls into backend systems and user journeys.

3. Policy & Governance Support

• Draft, update, and manage key compliance documents including:
• Compliance Manuals
• AML/KYC Policies
• Data Privacy Frameworks
• Platform Disclosures (Website, App, etc.)
• Review all client-facing digital content to ensure regulatory clarity and accuracy.

4. Client Communication & Advisory Documentation

• Review financial plans, client agreements, and advisory communications for regulatory alignment.
• Ensure appropriate and timely disclosures related to:
• Conflicts of interest
• Fee structures
• Associated risks
• Affiliations

5. Audits, Reporting & Risk Management

• Assist in preparing for SEBI inspections, internal audits, and technology reviews.
• Maintain comprehensive records in line with SEBI’s minimum 5-year retention requirements.
• Conduct periodic risk and compliance assessments across departments.

6. Training & Internal Awareness

• Conduct compliance training for internal teams, especially in Product, Engineering, and Sales.
• Support inspection readiness and build a strong internal culture of compliance.

Eligibility

Educational Qualifications:

• Bachelor's or Master’s degree in Law, Finance, Accounting, or Business Administration.

Experience:

• 2–5 years in compliance, legal, or regulatory roles within SEBI-regulated entities, preferably Investment Advisers.

Salary/Stipend

Compensation details will be finalized during the interview process with the selected candidate.

Type of Opportunity

Fulltime

Country

India

Address

Mumbai, Maharashtra, India.

Application and Registration Details

After you submit your application, you will receive the next steps in the process via email. Please follow the instructions provided to complete your application.

Incase you find any issue with the application process, please contact: [email protected] 

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