Regulatory Compliance Specialist

19 hours ago


Thrissur, Kerala, India beBeeCompliance Full time ₹ 20,00,000 - ₹ 30,00,000

Job Title: Regulatory Compliance Specialist

Key Responsibilities:

  • Ensure strict adherence to RBI and SEBI regulations.
  • Assess the impact of regulatory changes on business processes and policies.
  • Disseminate updates to senior management and ensure timely implementation.
  • 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.
  • Lead audits, statutory and internal inspections, and other regulatory reviews.
  • Ensure audit readiness, effective participation, and timely closure of audit findings.
  • 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.

Responsibilities Overview:

The role entails ensuring regulatory compliance by adhering to RBI and SEBI guidelines. The specialist will assess the impact of regulatory changes and disseminate updates to senior management. Additionally, the role involves developing an annual compliance testing plan, reporting significant compliance lapses, conducting regular compliance reviews, leading audits, handling legal matters, and possessing excellent communication and analytical skills.



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