Senior Regulatory Compliance Manager

1 week ago

Ellore, Andhra Pradesh, India beBeeCompliance Full time ₹ 1,00,00,000 - ₹ 2,00,00,000

Regulatory Compliance Specialist

The Compliance Officer role is a critical function in ensuring adherence to RBI and SEBI regulations. This individual will be responsible for monitoring regulatory updates, providing compliance guidance to senior leadership and board-level committees, and managing audits and inspections.

Key Responsibilities:

  • Continuously track and evaluate regulatory updates relevant to the organization.
  • Assess the impact of regulatory changes on policies and business processes.
  • Disseminate updates to senior management and ensure timely implementation.

Regulatory Monitoring & Implementation:

  • Ensure strict adherence to RBI and SEBI guidelines.
  • Provide compliance advisory to business teams on loan proposals and related matters.
  • Present compliance updates and key issues to the Board and board committees.

Reporting & Communication:

  • Prepare and submit periodic returns to RBI and other regulators.
  • Act as the single point of contact for regulatory queries and clarifications.
  • Coordinate with group entities to share compliance updates and submit data.

Testing & Review:

  • Develop and implement the annual compliance testing plan.
  • Report significant compliance lapses to the Audit Committee and senior leadership.
  • Conduct regular compliance reviews and test internal controls across departments.

Audit & Inspection Management:

  • Lead annual RBI inspections, statutory and internal audits, and other regulatory reviews.
  • Ensure audit readiness, effective participation, and timely closure of audit findings.

Legal Framework:

  • Handle legal matters including contracts, compliance, litigation, and regulatory affairs.

Qualifications & Skills:

  • Bachelor's or Master's degree in Law, Finance, or related field.
  • 7–13 years of experience in regulatory compliance, preferably in banking or NBFC sector.
  • Strong understanding of RBI and SEBI regulations and financial compliance frameworks.
  • Excellent communication, analytical, and stakeholder management skills.
  • Experience in handling audits, inspections, and board-level presentations.

Preferred Attributes:

  • Certification in Compliance, Risk Management, or related areas.
  • Experience in policy drafting and governance.
  • Familiarity with compliance systems and automation tools.

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