Fintech Regulatory Compliance Specialist

2 weeks ago


varanasi, India beBeeCompliance Full time

Job Title: Legal & Compliance Head | FintechWe are seeking a seasoned professional to lead our legal and compliance efforts in the fintech industry. The ideal candidate will have deep knowledge of SEBI RIA and AMFI/ARN regulations, ensuring strict arm's-length separation between advisory and distribution businesses.Key Responsibilities:Compliance Management: Ensure full compliance with SEBI RIA and AMFI/ARN guidelines, including regular audits and inspections.Arm's-Length Processes: Establish and enforce processes to maintain functional and operational separation between RIA (advisory) and ARN (distribution) businesses.Data Protection: Implement strong controls for risk profiling, suitability, documentation, and mis-selling prevention, as well as ensure data access and communication are secure.Regulatory Interactions: Manage regulatory notices and oversee grievance redressal mechanisms, ensuring effective handling of customer complaints.Team Training: Provide training to teams on do's and don'ts of RIA vs ARN segregation, ensuring everyone is aware of their roles and responsibilities.Required Experience:Legal/Compliance Expertise: 8–15 years of experience in legal or compliance roles within wealth management, MF distribution, RIA, PMS/AIF, or fintech.SEBI/AMFI Audits: Demonstrated experience in handling SEBI/AMFI audits and regulatory interactions, with a proven track record of success.Fee-Only Mandates: Strong understanding of fee-only mandates, commission restrictions, and conflict-of-interest controls, ensuring seamless implementation.



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