Legal & Compliance Head | Fintech | ARN & RIA
1 week ago
Hiring a seasoned Legal & Compliance Head with deep knowledge ofSEBI RIAandAMFI/ARNregulations who can ensurestrict arm’s-length separationbetween Advisory and Distribution businesses. Key ResponsibilitiesEnsure full compliance withSEBI RIAandAMFI/ARNguidelines. Establish and enforcearm’s-length processesbetween 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 implementingfunctional + operational separationbetween advisory & distribution. Strong understanding offee-only mandates ,commission restrictions , and conflict-of-interest controls. Track record of handling SEBI/AMFI audits and regulatory interactions.
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Delhi, 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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Delhi, 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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Delhi, India Dhan Saarthi Full timeHiring a seasoned Legal & Compliance Head with deep knowledge ofSEBI RIAandAMFI/ARNregulations who can ensurestrict arm’s-length separationbetween Advisory and Distribution businesses.Key ResponsibilitiesEnsure full compliance withSEBI RIAandAMFI/ARNguidelines.Establish and enforcearm’s-length processesbetween RIA (advisory) & ARN (distribution)...
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Delhi, India Dhan Saarthi Full timeHiring a seasoned Legal & Compliance Head with deep knowledge ofSEBI RIAandAMFI/ARNregulations who can ensurestrict arm’s-length separationbetween Advisory and Distribution businesses.Key ResponsibilitiesEnsure full compliance withSEBI RIAandAMFI/ARNguidelines.Establish and enforcearm’s-length processesbetween RIA (advisory) & ARN (distribution)...
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Management Trainee
2 weeks ago
Delhi, India AMP Full timeCompany Description AMP was founded with a vision to revolutionize personal mobility, inspired by the challenges of traditional car ownership. Driven by the need to make car upgrades aspirational, accessible, and affordable, AMP is redefining the concept of vehicle ownership with innovation and inclusivity. The company's first offering is a premium EV...
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Management Trainee
2 weeks ago
Delhi Division, India AMP Full timeCompany Description AMP was founded with a vision to revolutionize personal mobility, inspired by the challenges of traditional car ownership. Driven by the need to make car upgrades aspirational, accessible, and affordable, AMP is redefining the concept of vehicle ownership with innovation and inclusivity. The company's first offering is a premium EV...
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Management Trainee
2 weeks ago
Greater Delhi Area, India AMP Full timeCompany Description AMP was founded with a vision to revolutionize personal mobility, inspired by the challenges of traditional car ownership. Driven by the need to make car upgrades aspirational, accessible, and affordable, AMP is redefining the concept of vehicle ownership with innovation and inclusivity. The company's first offering is a premium EV...
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Management Trainee
2 weeks ago
Delhi, India AMP Full timeCompany DescriptionAMP was founded with a vision to revolutionize personal mobility, inspired by the challenges of traditional car ownership. Driven by the need to make car upgrades aspirational, accessible, and affordable, AMP is redefining the concept of vehicle ownership with innovation and inclusivity. The company's first offering is a premium EV...
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Head of Legal Compliance
3 weeks ago
New Delhi, India NxtWave Full time-Job Title: Head of Legal & Compliance-Location: Hyderabad (Flexible)-Experience Required: 8–10 years-Qualification: CS + LLB (Mandatory) from a reputed institution.-Reporting To: VP Finance / CEOIf interested kindly share the resume: n.ganesh@nxtwave.co.inRole Overview:We are looking for a highly qualified and experienced Head – Legal & Compliance to...
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Head of Legal Compliance
2 weeks ago
New Delhi, India NxtWave Full time-Job Title: Head of Legal & Compliance -Location: Hyderabad (Flexible) -Experience Required: 8–10 years -Qualification: CS + LLB (Mandatory) from a reputed institution. -Reporting To: VP Finance / CEO If interested kindly share the resume: n.ganesh@nxtwave.co.in Role Overview:We are looking for a highly qualified and experienced Head – Legal & Compliance...
