Chief Regulatory Officer

3 days ago

Malappuram, Kerala, India beBeeRiskMitigation Full time ₹ 1,00,00,000 - ₹ 2,00,00,000
Key Responsibilities:
  • Oversee strategic client engagements across regulatory supervision, policy formulation, risk management, and compliance transformation for SEBI- and RBI-regulated entities.
  • Bring exceptional expertise from supervisory, enforcement, and commercial banking environments as a strategic advisor on SEBI/RBI compliance, risk mitigation, senior management accountability, market/insider conduct, and enforcement readiness.

Role and Responsibilities:

  1. Regulatory Interpretation, Inspection & Advisory
  • Lead advisory mandates involving regulatory interpretation, inspection readiness, and enforcement risk management.
  • Advise clients on complex regulatory issues, including SEBI/RBI circulars, master directions, and sector-specific requirements.
  • Provide strategic consulting during supervisory reviews, show cause notices (SCNs), divergence reports, and assist with regulatory inspections and enforcement defence strategies.
Compliance Program Development & Enterprise Compliance
  • Design, implement, and evaluate 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, responses to enforcement proceedings (including show cause, settlement, or adjudication under SEBI Act, FEMA, etc.).
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.

Required Skills and Qualifications:

  • MBA/PGDM in Finance, Economics, or comparable field. CAIIB/Certified Credit Officer/Company Secretary preferred.
  • At least 8 years of experience in regulatory advisory, supervision, credit risk, and compliance, with demonstrated leadership in RBI, SEBI, or large commercial/capital market institutions.
  • Deep subject matter expertise in regulatory frameworks, enforcement protocols, AML/KYC, market conduct, credit products, and institutional governance.
  • Outstanding communication, leadership, and stakeholder engagement skills; ability to synthesize regulatory change into actionable guidance.
  • Strong analytical skills, attention to detail, and high ethical standard.

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