Legal & Compliance Head | Fintech | ARN & RIA

2 days ago

Bareilly, India Dhan Saarthi Full time

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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