Financial Regulatory Expert

16 hours ago

Belgaum, Karnataka, India beBeeCompliance Full time ₹ 1,50,00,000 - ₹ 2,50,00,000
Job Opportunity: Senior Regulatory Advisor

The incumbent will play a pivotal role in the Financial Regulatory Practice, leading complex client engagements across regulatory supervision, policy formulation, risk management, and compliance transformation for SEBI- and RBI-regulated entities.

This senior position demands exceptional expertise from supervisory, enforcement, and commercial banking environments, with the ability to act as a strategic advisor to clients on SEBI/RBI compliance, risk mitigation, senior management accountability, market/insider conduct, and enforcement readiness.

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.
    • Provide strategic consulting during supervisory reviews, show cause notices (SCNs), divergence reports, and assist with regulatory inspections and enforcement defence strategies.
  • 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.
    • Supervise policy governance advisory, including drafting/review of all regulatory-mandated policies, compliance manuals, and operational risk frameworks.
  • 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.
    • Oversee the design and review of Insider Trading Prevention frameworks aligned with SEBI (PIT) Regulations.
  • Regulatory Enforcement & Defence
    • Support in preparation of defensible submissions, responses to enforcement proceedings (including show cause, settlement, or adjudication under SEBI Act, FEMA, etc.).
  • 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.
    • Design and deliver trainings to client aligned with evolving best practices and regulatory expectations.

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.
  • Deep subject matter expertise in regulatory frameworks, enforcement protocols, AML/KYC, market conduct, credit products, and institutional governance.
  • Outstanding communication, leadership, and stakeholder engagement skills; ability to synthesize regulatory change into actionable guidance.
  • Strong analytical skills, attention to detail, and high ethical standard.

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