Senior Financial Regulatory Specialist
7 days ago
We are seeking individuals who embody the highest standards of integrity, demonstrating professionalism in every interaction, treating others with respect, and consistently aligning personal ambition with collective goals.
Job Description:The Assistant Vice President will play a senior role within our Financial Regulatory Practice, steering complex client engagements across regulatory supervision, policy formulation, risk management (including credit, market conduct, AML/KYC, and fraud), regulatory governance, and compliance transformation for both SEBI- and RBI-regulated entities.
This position demands 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:- Regulatory Interpretation, Inspection & Advisory
- Lead advisory mandates involving interpretation and practical application of SEBI/RBI regulations, inspection readiness, regulatory change impact, and enforcement risk management.
- Advise clients on complex regulatory issues, including SEBI/RBI circulars, master directions, and sector-specific requirements for banks, NBFCs, intermediaries, and capital market entities.
- 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
- Spearhead 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 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 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 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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