Deadline
Open Deadline
Location
Remote
Salary
Compensation details will be finalized during the interview process with the selected candidate.
Details of the Organization
The company is seeking a seasoned professional with extensive expertise in SEBI RIA and AMFI/ARN regulations.
Details of the Job/Internship
Dhan Saarthi is hiring a Legal & Compliance Head with 8-15 years of experience to join their office remotely.
Role and Responsibilities
- Ensure full compliance with SEBI RIA and AMFI/ARN guidelines.
- Establish and enforce arm’s-length processes between RIA (advisory) and ARN (distribution) businesses.
- Build clear functional separation in data access, communication, fees, product selection, and revenue.
- Manage SEBI/AMFI inspections, audits, filings, and internal controls.
- Draft and review client agreements, disclosures, contracts, and compliance policies.
- Implement strong controls for risk profiling, suitability, documentation, and mis-selling prevention.
- Handle regulatory notices and oversee grievance redressal mechanisms.
- Train teams on do’s and don’ts of RIA vs ARN segregation.
Eligibility
- 8–15 years of experience in Legal/Compliance within Wealth Management, MF Distribution, RIA, PMS/AIF, or FinTech.
- Proven experience in implementing functional and operational separation between advisory and distribution.
- Strong understanding of fee-only mandates, commission restrictions, and conflict-of-interest controls.
- Demonstrated experience handling SEBI/AMFI audits and regulatory interactions.
Salary/Stipend
Compensation details will be finalized during the interview process with the selected candidate.
Type of Opportunity
Fulltime
Country
India
Address
Remote
Application and Registration Details
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