
Chief Regulatory Officer
2 days ago
We are seeking a highly skilled and experienced professional to join our Financial Regulatory Practice as an Assistant Vice President.
The ideal candidate will play a pivotal role in steering complex client engagements across regulatory supervision, policy formulation, risk management, and compliance transformation for both SEBI- and RBI-regulated entities.
Key responsibilities include:
Regulatory Interpretation, Inspection & Advisory
- Lead advisory mandates involving the interpretation and practical application of SEBI/RBI regulations, inspection readiness, and enforcement risk management.
- Advise clients on complex regulatory issues, including SEBI/RBI circulars and sector-specific requirements for banks, NBFCs, intermediaries, and capital market entities.
- Provide strategic consulting during supervisory reviews 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 SEBI intermediary guidelines and RBI-mandated compliance risk frameworks.
- Advise clients to 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 SEBI (PIT) Regulations.
Regulatory Enforcement & Defence
- Support in preparation of defensible submissions and responses to enforcement proceedings.
Conduct Risk, Senior Management Accountability & Leadership
- 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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