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.
- Solid 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.

📌 Investment Advisor (Bengaluru)
🏢 Horizen
📍 Bengaluru