
Senior Regulatory Professional
22 hours ago
We seek an exceptional Senior Regulatory Professional to play a pivotal role in our Financial Regulatory Practice. As a key member of the team, you will be responsible for guiding complex client engagements across regulatory supervision, policy formulation, risk management, regulatory governance, and compliance transformation for both SEBI- and RBI-regulated entities.
- Key Responsibilities:
- Regulatory Interpretation, Inspection & Advisory:
- Lead advisory mandates involving the interpretation and practical application of SEBI/RBI regulations, inspection readiness, regulatory change impact, and enforcement risk management.
- Advise clients on complex regulatory issues, including SEBI/RBI circulars, master directions, and sector-specific requirements for banks, NBFCs, intermediaries, and capital market entities.
- Compliance Program Development & Enterprise Compliance:
- Spearhead the design, implementation, and ongoing evaluation of holistic enterprise compliance frameworks for clients in accordance with SEBI intermediary guidelines and RBI-mandated compliance risk frameworks.
- Advise clients build robust compliance and risk function policies, board-level reporting, and operational integration of written policy with business execution.
- Market Conduct, Insider & Fraud Risk:
- Advise on, and help operationalize, robust frameworks for market conduct, personal account dealing, conflict-of-interest management, and staff accountability.
- Conduct Risk, Senior Management Accountability & Leadership:
- Define and operationalize governance roles for boards, KMPs, CCOs, and senior management, with a focus on SEBI/RBI expectations for tone-from-the-top conduct culture and accountability.
- Regulatory Interpretation, Inspection & Advisory:
Required Skills and Qualifications
- MBA/PGDM in Finance, Economics, or comparable field. CAIIB/Certified Credit Officer/Company Secretary preferred.
- At least 8 years of experience in regulatory advisory, supervision, credit risk, and compliance, with demonstrated leadership in RBI, SEBI, or large commercial/capital market institutions.
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