Naman Chauhan
Legal Compliance Officer @Finkhoz Roboadvisory
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WORK HISTORY
Legal Compliance Officer @Finkhoz Roboadvisory
Gurugram, IN
Leading end-to-end regulatory and exchange compliance for Finkhoz Roboadvisory Services Pvt. Ltd. • Managing BSE / NSE coordination, regulatory filings, client segregation reporting, and exchange observation responses.• Drafting and reviewing broker integration agreements, vendor agreements, non-compete clauses, and regulatory documentation.• Ensuring clean separation between advisory and execution functions in line with SEBI norms.• Designing scalable onboarding frameworks for Research Analysts, basket vendors. • Handling regulatory audits, compliance checklists, annexures, and risk documentation.• Supporting product launches (baskets, strategies, coupon structures) with a compliance-first lens.
EDUCATION
Guru Gobind Singh Indraprastha University (GGSIPU), Delhi
BALLB, Law
ABOUT NAMAN CHAUHAN
Legal & Compliance Officer | Law Graduate | NISM Series III-A | SEBI (Research Analysts) Regulations | FinTech Regulatory Compliance | Corporate Governance
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