Executive Compliance Specialist

3 days ago


Palakkad, Kerala, India beBeeRegulatory Full time ₹ 24,36,000 - ₹ 31,59,000

We are seeking a Senior Regulatory Advisor to lead advisory mandates involving regulatory interpretation, inspection readiness, and enforcement risk management.

  • Key Responsibilities
  • Provide strategic consulting during supervisory reviews, show cause notices (SCNs), divergence reports, and assist with regulatory inspections and enforcement defence strategies.
  • 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 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.
  • Support in preparation of defensible submissions, responses to enforcement proceedings (including show cause, settlement, or adjudication under SEBI Act, FEMA, etc.).
  • 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 clients aligned with evolving best practices and regulatory expectations.


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