Associate - Financial Regulatory
2 days ago
Associate - Financial Regulatory Location: Mumbai Experience Required: 1–3 years of experience in financial regulation, compliance, or risk advisory About Trilegal: Trilegal is a leading full-service law firm in India with over 25 years of experience, trusted for its in-depth expertise and client-centric approach. The firm advises a diverse set of clients, including Fortune 500 companies, global investment funds, major Indian conglomerates, domestic and international banks, technology and media giants, family offices, and high-net-worth individuals. Role Overview: 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 are an equal opportunity employer and value diversity. We do not discriminate based on gender, race, age, sexual orientation, and religious identities or any other applicable characteristics protected by law. 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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