Financial Regulatory Expert

2 days ago

Ghaziabad, Uttar Pradesh, India beBeeRegulatory Full time ₹ 1,50,00,000 - ₹ 2,10,00,000

We are seeking talented individuals to fill the position of Assistant Vice President in our Financial Regulatory Practice.

This senior role demands a strong regulatory mindset, experience with large and diverse portfolios, and demonstrated capability to interpret evolving supervisory expectations, institutional frameworks, and global best practices with authority and precision.

Key Responsibilities:
  • Lead advisory mandates involving the interpretation and practical application of regulatory frameworks, inspection readiness, change impact, and enforcement risk management.
  • Advise clients on complex regulatory issues, including circulars, master directions, and sector-specific requirements for banks, non-banking financial companies (NBFCs), intermediaries, and capital market entities.
  • Provide strategic consulting during supervisory reviews, show cause notices, divergence reports, and assist with regulatory inspections and enforcement defence strategies.
Compliance Program Development & Enterprise Compliance
  • Spearhead the design, implementation, and ongoing evaluation of holistic enterprise compliance frameworks for clients in accordance with regulatory guidelines and 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 & 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 regulatory regulations.
Regulatory Enforcement & Defence
  • Support in preparation of defensible submissions, responses to enforcement proceedings (including show cause, settlement, or adjudication).
Conduct Risk, Senior Management Accountability & Leadership
  • Define and operationalize governance roles for boards, key management personnel (KMPs), chief compliance officers (CCOs), and senior management, with a focus on regulatory expectations for tone-from-the-top conduct culture and accountability.
  • Design and deliver trainings to align with evolving best practices and regulatory expectations.

The ideal candidate will have an MBA/PGDM in Finance, Economics, or a comparable field. Relevant certifications like CAIIB/Certified Credit Officer/Company Secretary are preferred. At least 8 years of experience in regulatory advisory, supervision, credit risk, and compliance, with demonstrated leadership in regulated institutions.

Required skills include deep subject matter expertise in regulatory frameworks, enforcement protocols, anti-money laundering/know-your-customer (AML/KYC), market conduct, credit products, and institutional governance. Outstanding communication, leadership, and stakeholder engagement skills are essential, along with the ability to synthesize regulatory change into actionable guidance. Strong analytical skills, attention to detail, and high ethical standards are also required.

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