Regulatory Compliance Professional

1 day ago

Agra, Uttar Pradesh, India beBeeCompliance Full time ₹ 1,00,00,000 - ₹ 1,50,00,000
Job Title: Compliance SpecialistOverview:

The Compliance Specialist will ensure adherence to RBI and SEBI regulations, support governance processes, manage audits and inspections, and provide compliance guidance to senior leadership and board-level committees.

This role requires a strong understanding of regulatory compliance, risk management, and legal matters. The ideal candidate will have expertise in managing audits, inspections, and board-level presentations, as well as experience in handling legal matters, including contracts and litigation.

Key Responsibilities:
  • 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.
  • 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.
  • Prepare and submit periodic returns to RBI and other regulators.
  • Act as the single point of contact for regulatory queries and clarifications.
  • Coordinate with group entities to share compliance updates and submit data.
  • 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.
  • Lead annual RBI inspections, statutory and internal audits, and other regulatory reviews.
  • Ensure audit readiness, effective participation, and timely closure of audit findings.
  • Handle legal matters including contracts, compliance, litigation, and regulatory affairs.
Qualifications & Skills:
  • Bachelors 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.
Preferred Attributes:
  • Certification in Compliance, Risk Management, or related areas.
  • Experience in policy drafting and governance.
  • Familiarity with compliance systems and automation tools.

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