Lead Financial Regulatory Advisor

4 days ago

Thoothukudi, Tamil Nadu, India beBeeRegulatory Full time ₹ 2,06,23,000 - ₹ 2,45,93,000
Senior Regulatory Specialist Role

This key position is sought by a leading financial services firm to drive strategic client engagements across regulatory supervision, policy formulation, risk management, and compliance transformation.

The ideal candidate will lead complex advisory mandates involving the interpretation and practical application of SEBI/RBI regulations, inspection readiness, and enforcement risk management.

  • Regulatory Interpretation & Advisory
    • Develop and implement holistic regulatory strategies for clients to ensure compliance with SEBI/RBI requirements.
    • Provide expert advice on complex regulatory issues, including SEBI/RBI circulars and sector-specific requirements.
    • Collaborate with clients to design and implement effective compliance programs.
  • Compliance Framework Development & Enterprise Compliance
    • Design, implement, and evaluate enterprise-wide compliance frameworks for clients.
    • Advise clients on developing robust compliance and risk function policies and operational integration of written policy with business execution.
    • Supervise policy governance advisory, including drafting/review of all regulatory-mandated policies and compliance manuals.
  • Market Conduct & Risk Management
    • Develop and operationalize 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.
  • Enforcement Defence & Leadership
    • Support in preparation of defensible submissions and responses to enforcement proceedings.

Required Skills and Qualifications:

  • Master's degree 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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