Legal & Compliance Head Fintech ARN & RIA

4 weeks ago

Bangalore, 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 Responsibilities Ensure 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 Experience 8-15 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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