Deadline
Open Deadline
Location
Kolkata, West Bengal, India
Salary
Compensation details will be finalized during the interview process with the selected candidate.
Details of the Organization
Dhan Saarthi is an investing platform focused on bridging the trust and guidance gap in personal finance. The company aims to empower investors with transparent and reliable financial solutions. It emphasizes investor-first principles in its advisory and distribution services.
Details of the Job/Internship
Dhan Saarthi is hiring a Legal & Compliance Head with 8–15 years of experience to oversee regulatory compliance and governance functions.
Role and Responsibilities
- Ensure full compliance with SEBI RIA and AMFI/ARN regulations.
- Establish and enforce arm’s-length processes between advisory (RIA) and distribution (ARN) functions.
- Build functional separation across data access, communication, fees, product selection, and revenue streams.
- Manage SEBI and AMFI inspections, audits, filings, and internal controls.
- Draft and review client agreements, disclosures, contracts, and compliance policies.
- Implement controls for risk profiling, suitability, documentation, and prevention of mis-selling.
- Handle regulatory notices and oversee grievance redressal mechanisms.
- Conduct training sessions on regulatory segregation and compliance practices.
Eligibility
- 8–15 years of experience in Legal/Compliance within Wealth Management, Mutual Fund Distribution, RIA, PMS/AIF, or FinTech.
- Strong understanding of SEBI RIA and AMFI/ARN regulations.
- Experience in implementing operational separation between advisory and distribution.
- Knowledge of fee-only mandates, commission restrictions, and conflict-of-interest frameworks.
- Proven experience in 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
Kolkata, West Bengal, India
Application and Registration Details
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