Investment Advisor

Horizen; Bengaluru; Hybrid; INR 1,400,000 - 2,100,000; Full time

Job summary

Welfyn, an AI-powered investment advisory platform, seeks a Compliance Officer with strong capital markets knowledge to oversee advisory compliance and work with the tech/quant teams on automated systems.

The role requires managing SEBI regulations, KYC, risk profiling and regulatory filings, while enabling compliant automated investment algorithms and portfolio risk controls.

Qualifications

• NISM X-A and X-B certifications mandatory.
• Strong understanding of SEBI Investment Adviser regulations.
• Knowledge of Indian capital markets and investment products.
• Strong analytical and documentation skills.

Responsibilities

• Manage compliance with SEBI Investment Adviser regulations and applicable guidelines.
• Maintain compliance policies, disclosures, SOPs, documentation and regulatory filings.
• Oversee KYC, risk profiling, suitability and advisory processes.
• Monitor regulatory changes and implement necessary controls.
• Work with quant and engineering teams to design compliant automated investment/trading algorithms.
• Assist with portfolio optimisation, risk controls, backtesting and algorithm monitoring.
• Develop compliance and audit controls for automated recommendations.

Skills

NISM Series X-A

NISM Series X-B

Capital markets knowledge

Analytical skills

Education

NISM Series X-A certification

NISM Series X-B certification

Job description

About Welfyn

Welfyn is an AI-powered investment advisory platform building personalised, quantitative and automated investment solutions for Indian retail investors.

Role

We are looking for a Compliance Officer with strong capital markets knowledge who can manage investment advisory compliance and work with our quant/technology team on automated investment and trading systems.

Key Responsibilities

• Manage compliance with SEBI Investment Adviser regulations and applicable guidelines.
• Maintain compliance policies, disclosures, SOPs, documentation and regulatory filings.
• Oversee KYC, risk profiling, suitability and advisory processes.
• Monitor regulatory changes and implement necessary controls.
• Work with quant and engineering teams to design compliant automated investment/trading algorithms.
• Assist with portfolio optimisation, risk controls, backtesting and algorithm monitoring.
• Develop compliance and audit controls for automated recommendations.

Mandatory Requirements

• NISM Series X-A & X-B certifications mandatory.
• Strong understanding of SEBI Investment Adviser regulations.
• Knowledge of Indian capital markets and investment products.
• Strong analytical and documentation skills.

Preferred

• Experience with a SEBI-registered Investment Adviser, wealth manager, fintech or brokerage.
• Knowledge of quantitative finance, algorithmic trading or portfolio optimisation.
• Familiarity with Python, SQL, Excel or financial modelling.

Candidates without valid NISM Series X-A & X-B certifications will not be considered.