Legal & Compliance Head | Fintech | ARN & RIA

1 week ago

Delhi, 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.

  • Legal & Compliance Head | Fintech | ARN & RIA

    1 week ago

    New Delhi, India Dhan Saarthi Full time

    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)...

  • Legal & Compliance Head | Fintech | ARN & RIA

    7 days ago

    Delhi, India Dhan Saarthi Full time

    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)...

  • Legal & Compliance Head | Fintech | ARN & RIA

    6 days ago

    Delhi, India Dhan Saarthi Full time

    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)...

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    Delhi, India AMP Full time

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    Delhi Division, India AMP Full time

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    Delhi, India AMP Full time

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    New Delhi, India NxtWave Full time

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    2 weeks ago

    New Delhi, India NxtWave Full time

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