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