Legal & Compliance Head | Fintech | ARN & RIA
5 days ago
Hiring a seasoned Legal & Compliance Head with deep knowledge of SEBI RIA and AMFI/ARN regulations who can ensure strict arm’s-length separation between Advisory and Distribution businesses.Key ResponsibilitiesEnsure full compliance with SEBI RIA and AMFI/ARN guidelines.Establish and enforce arm’s-length processes between RIA (advisory) & ARN (distribution) businesses.Build clear functional separation: data access, communication, fees, product selection, and revenue.Manage SEBI/AMFI inspections, audits, filings, and internal controls.Draft/review client agreements, disclosures, contracts, and compliance policies.Implement strong controls for risk profiling, suitability, documentation & mis-selling prevention.Handle regulatory notices and oversee grievance redressal mechanisms.Train teams on do’s & don’ts of RIA vs ARN segregation.Required Experience8–15 years in Legal/Compliance in Wealth Management, MF Distribution, RIA, PMS/AIF, or FinTech.Demonstrated experience implementing functional + operational separation between advisory & distribution.Strong understanding of fee-only mandates, commission restrictions, and conflict-of-interest controls.Track record of handling SEBI/AMFI audits and regulatory interactions.
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India Dhan Saarthi Full timeHiring a seasoned Legal & Compliance Head with deep knowledge of SEBI RIA and AMFI/ARN regulations who can ensure strict arm’s-length separation between Advisory and Distribution businesses. Key Responsibilities Ensure full compliance with SEBI RIA and AMFI/ARN guidelines. Establish and enforce arm’s-length processes between RIA (advisory) & ARN...
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India Dhan Saarthi Full timeHiring a seasoned Legal & Compliance Head with deep knowledge of SEBI RIA and AMFI/ARN regulations who can ensure strict arm’s-length separation between Advisory and Distribution businesses. Key Responsibilities Ensure full compliance with SEBI RIA and AMFI/ARN guidelines. Establish and enforce arm’s-length processes between RIA (advisory) & ARN...
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Account Manager
4 weeks ago
Jaipur, India AMP & Co. Full timeJob Description About Us AMP & Co. is a dynamic Chartered Accountant firm dedicated to delivering comprehensive accounting, tax, audit, and advisory services to clients across various sectors. We are committed to nurturing young talent and offering meaningful learning and growth opportunities. Job Summary We are seeking a motivated and detail-oriented...
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Lead - Distribution (Fintech Sales)
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Mumbai, Maharashtra, India, Maharashtra Lxme Full timeAbout LXME:LXME is India’s first comprehensive financial ecosystem designed exclusively for women empowering them to earn, spend, save, and invest with confidence.From LXME Pay (our UPI-led payments platform) to Invest and Learn, we’re building a new kind of financial experience one that starts with education and ends with empowerment.About the Role:The...
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Legal Counsel
16 hours ago
India Neokred Full timeNeokred is a FinTech company based in Bangalore and an ISO 9001 | 27001, 27701 & 20000-1 certified firm in Information and Data Security. The company builds Consumer Tech for Financial Infrastructure stack to provide curated versions of embedded banking in the payment ecosystem. We've created a platform which enables Corporates, Banks, FinTechs, Retail...
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Gurugram, India Michael Page Full timeJob Description - Only candidates with 15+ years of experience in Banking/ Fintech apply - Only candidates based out of Delhi NCR or willing to relocate apply Job Description - Provide strategic legal advice and ensure compliance with regulatory requirements specific to the banking sector - Draft, review, and negotiate contracts, agreements, and other legal...
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Automation +Azure( Microsoft)
2 weeks ago
India Growel Softech Pvt. Ltd. Full time ₹ 6,00,000 - ₹ 8,00,000 per year:- About The Role : :Manual amp; Automation testing Azure experience Manual amp; Automation testing Azure experience Location :Pan India Named Job Posting? (if Yes - needs to be approved by SCSC) Additional Details- Global Grade :C- Level :To Be Defined- Named Job Posting? (if Yes - needs to be approved by SCSC) :No- Remote work possibility :No- Global Role...
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Head of Compliance
6 days ago
india Weekday AI Full timeThis role is for one of the Weekday's clientsSalary range: Rs Rs ie INR 40-60 LPA)Min Experience: 8 yearsJobType: full-timeWe are seeking an experienced and forward-thinking Head of Compliance to lead the compliance function in a fast-growing fintech environment. In this role, you will define and implement robust compliance frameworks, ensure full regulatory...
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▷ Apply in 3 Minutes! Legal Counsel
3 weeks ago
India Neokred Full timeNeokred is a FinTech company based in Bangalore and an ISO 9001 | 27001, 27701 & 20000-1 certified firm in Information and Data Security. The company builds Consumer Tech for Financial Infrastructure stack to provide curated versions of embedded banking in the payment ecosystem. We've created a platform which enables Corporates, Banks, FinTechs, Retail...
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Head of Compliance
1 week ago
India Weekday AI Full time ₹ 4,00,00,000 - ₹ 6,00,00,000 per yearThis role is for one of the Weekday's clientsSalary range: Rs Rs ie INR 40-60 LPA)Min Experience: 8 yearsJobType: full-timeWe are seeking an experienced and forward-thinking Head of Compliance to lead the compliance function in a fast-growing fintech environment. In this role, you will define and implement robust compliance frameworks, ensure full regulatory...