Compliance Officer

Company Description WealthQuant Investment Advisory LLP is a Bengaluru-based investment advisory firm focused on delivering data-driven, research-backed financial advice to individual and institutional clients. The firm emphasizes transparent processes, strong risk management, and adherence to regulatory standards to support long-term wealth creation. WealthQuant combines quantitative insights with practical market experience to design tailored investment strategies. Team members collaborate closely to provide clients with reliable, compliant, and goal-oriented advisory services.
Role Description The Compliance Officer will oversee regulatory and compliance frameworks for WealthQuant Investment Advisory LLP, with a specific focus on SEBI Registered Investment Adviser (RIA) or SEBI Registered Advisor (RA) requirements. This full-time, on-site role is based in Bengaluru and involves monitoring adherence to SEBI regulations, internal policies, and ethical standards across advisory activities. Day-to-day responsibilities include reviewing client onboarding and advisory processes, conducting compliance audits, managing regulatory filings, and maintaining accurate documentation. The role also includes drafting and updating compliance policies, training team members on regulatory changes, handling compliance queries, and supporting risk assessments and internal controls. The Compliance Officer will collaborate with leadership and advisory teams to ensure that all client communications, investment recommendations, and marketing materials meet applicable regulatory guidelines.
Qualifications
Candidates should possess strong Compliance Management and Regulatory Compliance skills, with demonstrable experience in SEBI RA or RIA regulations.
Candidates should possess solid Analytical Skills and Finance knowledge to interpret regulations, assess risks, and evaluate advisory processes.
Candidates should possess effective Communication skills, including clear written and verbal communication for policy drafting, documentation, and stakeholder coordination.
SEBI RA or RIA registration or eligibility is required, along with experience in investment advisory, wealth management, or financial services.
Relevant academic background such as a degree in Finance, Law, Commerce, Economics, or a related discipline is preferred.
Ability to work with detail-oriented processes, maintain high ethical standards, and handle confidential information responsibly.
Experience with compliance audits, regulatory reporting, and implementation of internal controls will be beneficial.

Work arrangement
Hybrid