Regulatory Compliance Professional

13 hours ago

Bareilly, Uttar Pradesh, India beBeeCompliance Full time ₹ 1,50,00,000 - ₹ 2,50,00,000

Job Role: Compliance Specialist

 

The organization seeks a seasoned Compliance Specialist to ensure adherence to regulatory requirements and governance processes. This individual will be responsible for monitoring and implementing regulatory changes, providing compliance guidance to senior leadership, and managing audits and inspections.

 

Key Responsibilities:

  • Regulatory Monitoring & Implementation
  • Continuously track and evaluate regulatory updates relevant to the organization.
  • Assess the impact of regulatory changes on policies and business processes.
  • Disseminate updates to senior management and ensure timely implementation.

 

Compliance Advisory & Governance

  • Ensure strict adherence to RBI and SEBI guidelines.
  • Provide compliance advisory to business teams on loan proposals and related matters.
  • Present compliance updates and key issues to the Board and board committees.

 

Reporting & Communication

  • Prepare and submit periodic returns to regulators.
  • Act as the single point of contact for regulatory queries and clarifications.
  • Coordinate with group entities to share compliance updates and submit data.

 

Testing & Review

  • Develop and implement the annual compliance testing plan.
  • Report significant compliance lapses to the Audit Committee and senior leadership.
  • Conduct regular compliance reviews and test internal controls across departments.

 

Audit & Inspection Management

  • Lead annual regulator inspections, statutory and internal audits, and other regulatory reviews.
  • Ensure audit readiness, effective participation, and timely closure of audit findings.

 

Qualifications & Skills:

  • Bachelor's or Master's degree in Law, Finance, or related field.
  • 7–13 years of experience in regulatory compliance, preferably in banking or NBFC sector.
  • Strong understanding of RBI and SEBI regulations and financial compliance frameworks.
  • Excellent communication, analytical, and stakeholder management skills.
  • Experience in handling audits, inspections, and board-level presentations.

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