Regulatory Compliance Specialist

2 days ago


Meerut, Uttar Pradesh, India beBeeCompliance Full time ₹ 15,00,000 - ₹ 25,00,000
Regulatory Compliance Specialist

Job Overview:

As a Regulatory Compliance Specialist, you will play a pivotal role in ensuring the organization adheres to all applicable statutory, regulatory, and internal governance requirements.

Key Responsibilities:

  • Conduct comprehensive reviews of regulatory requirements and internal standards to ensure adherence for Compliance Audit and Reporting.
  • Evaluate the organization's governance framework to guarantee alignment with regulatory expectations and industry best practices for Corporate Governance Review.
  • Review and assess internal processes to identify control gaps and support the implementation of robust internal controls for Internal Controls and Process Audits.
  • Audit onboarding, training, and operations of Point of Sales Persons (POSPs) in accordance with applicable compliance guidelines for POSP Compliance Review.
  • Support the implementation and testing of Business Continuity Planning (BCP) and Disaster Recovery (DR) frameworks for Business Continuity and Disaster Recovery Review.
  • Develop and conduct regular training sessions on AML/KYC norms, cybersecurity, and operational risk management for Training and Awareness Programs.
  • Assist in preparing and submitting timely, accurate documentation for statutory filings such as shareholding changes, periodic returns, etc. for Documentation for Regulatory Filings.
  • Conduct gap analyses to identify areas of non-compliance and provide tailored, risk-based recommendations for Gap Analysis and Risk-Based Recommendations.
  • Perform compliance and risk assessments on third-party vendors to ensure appropriate controls are in place for Third-Party Vendor Due Diligence.

Requirements:

  • 4–10 years of experience in regulatory compliance, audits, or governance (preferably in insurance, financial services, or related sectors)
  • Strong understanding of regulatory frameworks
  • Excellent knowledge of corporate governance and internal control systems
  • Strong documentation, communication, and presentation abilities
  • Ability to collaborate across functions and manage multiple priorities effectively

Preferred Qualifications:

  • Company Secretary (CS) – Preferred
  • Candidates with the following backgrounds will also be considered:
  • LLB / LLM (Corporate Law / Compliance)
  • Chartered Accountant (CA)
  • MBA (Finance / Risk / Compliance)
  • Graduate/Postgraduate in Commerce, Finance, or Business Law with relevant compliance or risk management experience

Work Environment:

This is an excellent opportunity to join our team and make a meaningful contribution to the organization's success.



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