Compliance Executive

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