Ensure compliance with SEBI,Monitor compliance with circulars,Manage SEBI filings, annual audits,Implement and monitor compliance checks,Assist in drafting and maintaining Compliance Manuals
Trade Reconciliation/Cash Reconciliation. Reconcile and validate trade capture and day trading activity in timely and accurate manner. Develop standard processes to route customer queries to correct department for timely resolution. Assist in resolving trade discrepancies caused from trade failures, breaks, etc. Run daily risk checks and accordingly generate risk reports. Coordinate with front office and other support teams, locally and globally, to address trade related enquiries and issues. Prepare and deliver end-of-day P&L and pricing statements to management. Work with trade product and market groups to provide accurate and appropriate trade information to customer in a timely manner. Maintain integrity and confidentiality of all trade related data. Identify and facilitate issue resolutions and escalate where applicable Working with team partners with a number of groups including the front office, product development, middle office, operations, technology, finance, etc and work closely with other stakeholders on global initiatives. Generation of portfolio reports for the clients on a daily basis. Assisting in audits on Timely basis
Act as a liaison between the Group Risk & Compliance function and the Wahed Ventures Business team, ensuring alignment of strategic risk and compliance priorities. Build a deep understanding of the ECF & RECF business model across the UK, Malaysia, and USA. Support the development and periodic review of policies, ensuring they reflect current regulatory requirements and business operations for CF platforms. Identify and evaluate key regulatory, operational, and reputational risks, and assist in formulating and implementing appropriate mitigating controls in collaboration with function owners.
Maintaining accurate & up to date records of all financial Transactions Documents financial transactions by entering account information Preparation of Budget & Forecast reports Preparation of Monthly, Quarterly & Annually Financial Reports Handle monthly, quarterly and annual closings Bringing to the attention to management if there is any abnormality in business Ensure timely bank payments, Reconciliation of Vendors & Debtors Comply with all statutory requirements Preparation of financials along with variances and reason for abnormality, if any Report on the companys financial health and liquidity Assist to local team & auditors during Audit assignments Secures financial information by completing database backups. Maintains accounting controls by preparing and recommending policies and procedures. Other financial duties assigned by Finance Manager.
Provide inputs to product team for on-boarding requirements for mutual fund account opening Research various intermediaries for execution of mutual fund through API connectivity. Coordinate with various intermediaries involved in execution of mutual fund securities for integration and real time support. Develop, implement, and review operational policies and procedures. Ensure seamless operations of recording client data and advices Perform quality control of client data and advices disseminated to client Ensuring revenue assurance for the organisation by correctly calculating advisory fees and ensuring same are recovered from client as per defined frequencies. Liasoning with customer support, investment advisor and compliance for resolving customer complaints. Providing data for internal and external audits / regulatory inspections. Key Specification: Bachelor degree with 3+ years of experience in handling operations for financial service client especially mutual fund execution over digital platform NISM distribution certification Understanding of system architecture and database would be added advantage Ability to multi-task, prioritize, and manage time effectively Ability to deliver high-quality work under deadlines.
About Wahed: We have a passion to reduce financial inequality and exclusion by building world leading financial products and services aimed at giving access to all. We are a New York headquartered Financial Technology (FinTech) company focused on serving values-based (shariah compliant) digital financial services to retail clients globally, starting with wealth management. We have an impressive global team aligned with this purpose and are looking for trail blazers in their fields that will take our customer delivery to new levels. We can promise you a digital first and truly international culture, as well as a fascinating immersion into the world of FinTech and Islamic finance. 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 Show more Show less
We are seeking 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. Ensure compliance with SEB. Implement and monitor compliance checks. Assist in drafting and maintaining Compliance Manuals and Policies. Assist in preparing for and responding to SEBI inspections and internal audits. Working knowledge of the SEBI IA Regulations, SEBI LODR, AML guidelines, and SEBI circulars applicable to RIA's
Trade Reconciliation/Cash Reconciliation. Reconcile and validate trade capture and day trading activity in timely and accurate manner. Develop standard processes to route customer queries to correct department for timely resolution. Assist in resolving trade discrepancies caused from trade failures, breaks, etc. Run daily risk checks and accordingly generate risk reports. Coordinate with front office and other support teams, locally and globally, to address trade related enquiries and issues. Prepare and deliver end-of-day P&L and pricing statements to management. Work with trade product and market groups to provide accurate and appropriate trade information to customer in a timely manner. Maintain integrity and confidentiality of all trade related data. Identify and facilitate issue resolutions and escalate where applicable Working with team partners with a number of groups including the front office, product development, middle office, operations, technology, finance, etc and work closely with other stakeholders on global initiatives. Generation of portfolio reports for the clients on a daily basis. Assisting in audits on Timely basis.
Lead the execution of post-raise operational workflows across real estate investments, including cap table management, investor recordkeeping, dividend distributions, and reporting Manage the setup and structuring of investment vehicles, including legal documentation, SPV governance, and regulatory filings, in collaboration with legal counsel Coordinate end-to-end property closing processes, liaising with solicitors to ensure timely legal checks, documentation, and transaction completion Collaborate with compliance and finance teams to carry out investor due diligence, reconcile transactions, process refunds, manage invoices, and generation of rental income statements Oversee the distribution of investor communications, including periodic updates, investment confirmations, and rental income statements Liaise with property managers to monitor rental performance, maintenance needs, and tenant updates across active properties Schedule and coordinate third-party vendors, including property inspector , appraisers , and title agents, including reviewing quotes, contracting required works, and assessing completion where applicable Collaborate with legal, finance, operations, and tech teams to improve internal processes, secure required approvals, and support investment go-lives on the platform
We are seeking a detail-oriented Compliance Associate in overseeing and enhancing our transaction monitoring process across the UK. The Ideal candidate will assist in identifying and investigating suspicious activities and ensuring compliance with regulatory requirements and supporting the regulated firm in meeting its anti-money laundering (AML) obligations. Transaction Monitoring: Perform daily transaction monitoring of customer transactions using internal systems and tools to detect potential money laundering, terrorist financing, fraud, and other financial crime risks. Customer Due Diligence (CDD) & KYC: Review and verify Know Your Customer (KYC) documents for onboarding and existing clients Ensure adherence to customer due diligence (CDD) and enhanced due diligence (EDD) requirements. Compliance Systems & Controls: Assist in the optimization and calibration of transaction monitoring systems. Work with the IT and Risk teams to enhance automated monitoring tools
About Wahed Ventures: Wahed Ventures is a prominent equity crowdfunding and investment platform dedicated to ethical investments. As part of the Wahed group, a global leader in ethical finance, Wahed Ventures focuses on identifying promising investment opportunities aligned with our ethical principles. Wahed has also recently ventured into Real Estate investing. Job Brief: As part of our expanding Wahed Ventures Real Estate function, we are looking for a highly organised and dependable Operations Associate to support the full operational lifecycle of our real estate and venture capital investments. This role is ideal for someone who is operationally sharp, comfortable managing multiple stakeholders, and confident working across a diverse and fast-paced set of functions, including operations, finance, legal, compliance, product, and marketing. You will play a key role in driving processes spanning acquisition, deal structuring, closing , investor reporting, and asset management. Job Description Lead the execution of post-raise operational workflows across real estate investments, including cap table management, investor recordkeeping, dividend distributions, and reporting Manage the setup and structuring of investment vehicles, including legal documentation, SPV governance, and regulatory filings, in collaboration with legal counsel Coordinate end-to-end property closing processes, liaising with solicitors to ensure timely legal checks, documentation, and transaction completion Collaborate with compliance and finance teams to carry out investor due diligence, reconcile transactions, process refunds, manage invoices, and generation of rental income statements Oversee the distribution of investor communications, including periodic updates, investment confirmations, and rental income statements Liaise with property managers to monitor rental performance, maintenance needs, and tenant updates across active properties Schedule and coordinate third-party vendors, including property inspector , appraisers , and title agents, including reviewing quotes, contracting required works, and assessing completion where applicable Collaborate with legal, finance, operations, and tech teams to improve internal processes, secure required approvals, and support investment go-lives on the platform Job Specification Essential: Strong organisational skills with the ability to manage multiple tasks and documents across departments High attention to detail and comfort working with legal and financial information Clear and professional written and verbal communication Strong interpersonal skills for coordinating with internal teams and external service providers Willingness to learn and adapt in a fast-paced, high-growth environment Familiarity with Google Workspace or Microsoft Office; comfort learning new operational tools Nice to Have: Commercial awareness, especially when reviewing property works, vendor quotes, or maintenance decisions Familiarity with US property conveyancing, legal structuring, or regulated investment processes
As a part of Wahed Ventures Real Estate team, you will play a crucial role as an Operations Associate, responsible for supporting the operational lifecycle of real estate and venture capital investments. Your primary focus will be on executing post-raise operational workflows for real estate investments, managing investment vehicles" setup and structuring, coordinating property closing processes, and overseeing investor communications and distributions. Your responsibilities will include leading the execution of operational workflows for real estate investments, managing cap table, investor recordkeeping, dividend distributions, and reporting. You will also be responsible for setting up and structuring investment vehicles, including legal documentation, SPV governance, and regulatory filings in collaboration with legal counsel. Collaboration with compliance and finance teams will be essential for carrying out investor due diligence, reconciling transactions, processing refunds, managing invoices, and generating rental income statements. You will also oversee the distribution of investor communications, liaise with property managers for rental performance monitoring, maintenance needs, and tenant updates. Additionally, you will schedule and coordinate third-party vendors, such as property inspectors, appraisers, and title agents. Collaborating with legal, finance, operations, and tech teams to improve internal processes, secure required approvals, and support investment go-lives on the platform will also be part of your responsibilities. To excel in this role, you must possess strong organizational skills, attention to detail, and the ability to manage multiple tasks across various departments. Clear and professional communication skills, both written and verbal, will be crucial for coordinating with internal teams and external service providers. Your willingness to learn and adapt in a fast-paced, high-growth environment will be highly valued. While familiarity with Google Workspace or Microsoft Office is essential, possessing commercial awareness, especially in property works review, vendor quotes, or maintenance decisions, would be advantageous. Additionally, familiarity with US property conveyancing, legal structuring, or regulated investment processes would be considered a plus. Join Wahed Ventures Real Estate team as an Operations Associate and contribute to driving processes spanning acquisition, deal structuring, investor reporting, and asset management in the ethical finance sector.,
As a Compliance Analyst at Wahed, you will play a crucial role in reducing financial inequality and exclusion by conducting research on prospective and existing clients to identify and analyze any sanctions nexus. Your responsibilities will include performing Compliance activities with a focus on Sanctions, conducting internal and external outreach for EDD reviews, Negative news, and PEP screening. You will be assessing alerts raised by sanctions screening systems to determine any sanctions concerns and following operational procedures for sanctions alert handling while documenting the decision rationale. Additionally, you will conduct background research as needed to assess risks and mitigate AML Risk. To excel in this role, you should have 2 to 3 years of experience in KYC, AML, and Due Diligence. Strong verbal and written communication skills, attention to detail, and the ability to handle customer queries through various channels such as calls, emails, and chat are essential. Proficiency in MS Office, the capacity to manage tasks independently, a willingness to continuously learn and upgrade skills, and the ability to adapt to rotational shifts are also required. Join us at Wahed and be part of our mission to provide values-based digital financial services to retail clients globally. Embrace a digital-first and international culture, immerse yourself in the world of FinTech and Islamic finance, and contribute to taking our customer delivery to new heights.,
You will be joining Wahed, a New York headquartered Financial Technology (FinTech) company that is dedicated to reducing financial inequality and exclusion by providing world-leading financial products and services accessible to all. Our focus is on delivering values-based (shariah compliant) digital financial services to retail clients globally, starting with wealth management. As part of our diverse global team, your role as a Middle Office Operations Analyst / Senior Analyst will be crucial in supporting the day-to-day operational functions of our investment management business. Your responsibilities will include coordinating and submitting trade instruction and settlement files, maintaining trade blotters and execution records, liaising with external custodians and fund administrators, tracking and reconciling trade settlement cycles, supporting net asset value (NAV) production, and generating monthly and quarterly fund factsheets. Additionally, you will ensure the accuracy and timeliness of fund website data, support private fund operations, and provide operational support aligned with UK and US market hours. In the realm of private fund operations, you will be involved in capital call and distribution notices, investor onboarding, trade instruction execution, reporting, compliance workflows, and asset-level data collection. Your tasks will also include maintaining internal records of investor transactions, coordinating document flows, reconciling fund-level cash movements, monitoring liquidity/collateral thresholds, and assisting with regulatory responses and fund documentation. Moreover, you will be responsible for maintaining static data, ensuring regulatory and compliance reporting data integrity, developing process checklists and control logs, supporting operational improvements and automation initiatives, managing trade matching, submitting daily Custody Trade Instructions File and Fund Accounting Trade Blotter File, and liaising with counterparties for post-trade confirmation workflows. To excel in this role, you should have 2-5 years of experience in investment operations, middle office, or fund administration, an understanding of trade processing workflows for pooled fund structures, familiarity with trade workflows, strong Excel skills, and the ability to manage workflows across teams and time zones. Your attention to detail, organizational skills, and excellent communication abilities will be essential in fulfilling the requirements of this position.,
Wahed Ventures is a prominent equity crowdfunding and investment platform dedicated to ethical investments. As part of the Wahed group, a global leader in ethical finance, Wahed Ventures focuses on identifying promising investment opportunities aligned with our ethical principles. Wahed has also recently ventured into Real Estate investing. Job Description We are seeking a highly motivated and dynamic Operations Intern to join our team. Within this role, you’ll be supporting various operational tasks, particularly in managing investor queries and assisting in compliance and risk-related work. Manage and add investor queries into our system Assist in solving investor queries promptly and efficiently. Support compliance and risk-related tasks. Collaborate closely with team members to ensure smooth operational workflows. Participate actively in team meetings, offering valuable insights and recommendations. Prepare insightful reports and documentation based on thorough analysis. Fulfill regular and ad-hoc duties related to the division’s operational requirements. Job Specification: Currently pursuing or recently completed a degree in Business, Finance, or a related field. Strong organisational and problem-solving skills Ability to collaborate with cross-functional teams. Fluency with Google Suite/Microsoft Office Suite: Previous experience preferred. Communication and interpersonal skills: Essential for team collaboration and stakeholder management. Efficient performer: Ability to thrive in a high-pressure environment and meet deadlines consistently.
Key Responsibilities Fund Operations (UCITS / U.S. / Private) Coordinate the preparation and submission of trade instruction and settlement files in line with custodian and fund administrator requirements. Maintain internal trade blotters and execution records, ensuring alignment with fund-level trade activity and custodial settlement. Liaise with external custodians, fund administrators, and executing brokers to support daily processing cycles. Track and reconcile trade settlement cycles (e.g., T+1, T+2) and resolve breaks or exceptions in coordination with internal teams. Support workflows relating to net asset value (NAV) production, including price verification, position files, and cash forecasting. Generate and maintain monthly and quarterly fund factsheets, including data collation, formatting, and coordination with design/compliance teams. Ensure fund website data is up-to-date (e.g., PRIIPs KIDs, financial statements, factsheets, corporate action updates). Willingness to provide operational support aligned with UK and US market hours, including partial coverage during early or late shifts, as required.
About Wahed: We have a passion to reduce financial inequality and exclusion by building world leading financial products and services aimed at giving access to all. We are a New York headquartered Financial Technology (FinTech) company focused on serving values-based (shariah compliant) digital financial services to retail clients globally, starting with wealth management. We have an impressive global team aligned with this purpose and are looking for trail blazers in their fields that will take our customer delivery to new levels. We can promise you a digital first and truly international culture, as well as a fascinating immersion into the world of FinTech and Islamic finance. Job Description: Performing research on prospective and existing clients related parties to identify and analyse a sanctions nexus. Relevant experience of Compliance activities particularly in relation to Sanctions preferred. Conduct internal and external outreach for EDD reviews, Negative news and PEP screening. Assesses whether alerts raised by sanctions screening systems raise any sanctions concerns. Follow operational procedures on sanctions alert handling, including document the decision rationale. Conduct additional background research as appropriate, to help assess risk and mitigate AML Risk. Job Specification : 2 to 3 years of experience in KYC, AML, Due Diligence. Should possess strong verbal and written communication skills with an eye for detail Should be able to handle customer queries through calls/emails and chat. Knowledge in MS office. Ability to manage and complete specific tasks with minimal direction Willingness to continuously learn, upgrade skills and stay relevant to business demands. Comfortable working in Rotational Shifts.