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 solid 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.
Solid 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