Regulatory Compliance Professional

4 days ago

Bellary, Karnataka, India beBeeCompliance Full time ₹ 90,00,000 - ₹ 1,25,00,000

Job Opportunity: Compliance Specialist

We are seeking an experienced and skilled Compliance Specialist to join our organization.

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

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

Desirable Skills & Experience:

  • 4–10 years of experience in regulatory compliance, audits, or governance (preferably in insurance, financial services, or related sectors)
  • Strong understanding of regulatory frameworks (IRDAI, SEBI, RBI, etc.)
  • 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

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