Legal & Compliance Head | Fintech | ARN & RIA

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