Financial Regulatory Practice

4 weeks ago

Mumbai, Maharashtra, India Trilegal Full time

JOB DESCRIPTION

The Analyst will be part of the Financial Regulatory Practice, supporting advisory and compliance engagements for SEBI and RBI regulated entities. This role offers exposure to regulatory interpretation, policy development, and conduct risk frameworks. The ideal candidate is research-driven, detail-oriented, and passionate about financial regulation and institutional governance.

ROLE AND RESPONSIBILITIES:

Regulatory Interpretation & Advisory

  • Advisory on SEBI and RBI circulars, master directions, and enforcement trends.
  • Support development of regulatory change management frameworks and impact assessments.

Inspection & Enforcement Support

  • Assist in preparing responses to inspection observations, show cause notices, and supervisory communications.
  • Support strategy consulting during inspections and enforcement proceedings.

Compliance Framework & Policy Development

  • Contribute to drafting and reviewing compliance policies, manuals, and governance documents.
  • Assist in implementing enterprise-wide compliance frameworks including second-line functions and reporting structures.
  • Conduct gap analyses and health-checks to align policies with regulatory expectations.

AML, KYC & Fraud Risk

  • Support design and review of AML/CFT programs, KYC procedures, and fraud risk controls.
  • Assist in remediation of deficiencies flagged in SEBI, RBI, or FIU inspections.

Market Conduct & Insider Trading

  • Help develop frameworks for market conduct, surveillance, and misconduct investigations.
  • Assist in implementing insider trading prevention programs, including UPSI governance and Code of Conduct for Designated Persons.

Governance & Senior Accountability

  • Support initiatives on board-level governance, senior management accountability, and conduct risk.
  • Assist in aligning internal roles and responsibilities with SEBI's LODR and RBI's tone-from-the-top expectations.

Cross-Functional Coordination

  • Collaborate with Legal, Compliance, Risk, Credit, and Operations teams to ensure integrated execution of regulatory programs.
  • Contribute to training and awareness initiatives on regulatory developments and compliance best practices.

REQUIRED SKILLS AND QUALIFICATIONS:

  • Graduate in Finance, Law, Public Policy, Economics, or related disciplines.
  • 1–3 years of experience in financial regulation, compliance, or risk advisory.
  • Strong research, writing, and analytical skills.
  • Familiarity with regulatory reporting, risk frameworks, or inspection processes is a plus.
  • Proactive mindset, attention to detail, and ability to work across teams.

We seek individuals who uphold the highest standards of integrity, demonstrate professionalism in every interaction, treat others with respect, and consistently align personal ambition with the collective goals of the firm.

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