Financial Regulatory Professional

7 days ago

Thāne, Maharashtra, India beBeeRegulatory Full time US$ 15,00,000 - US$ 25,00,000

We are seeking a seasoned professional to fill the role of Assistant Vice President, Regulatory Compliance. In this position, you will play a key leadership role within our Financial Regulatory Practice, driving complex client engagements across regulatory supervision, policy formulation, risk management, and compliance transformation.

The ideal candidate will possess exceptional expertise in supervisory, enforcement, and commercial banking environments, with a strong regulatory mindset and experience working with large and diverse portfolios.

Key responsibilities will include leading advisory mandates involving the interpretation and practical application of SEBI/RBI regulations, advising clients on complex regulatory issues, and providing strategic consulting during supervisory reviews and regulatory inspections.

Key Responsibilities:
  • Regulatory Interpretation and 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 and 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 and 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 and 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 and 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.

Requirements:

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.

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