Senior Regulatory Compliance Specialist

23 hours ago


Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 18,00,000 - ₹ 22,00,000

Job Summary

We are seeking a seasoned professional to oversee all regulatory compliance functions, ensuring alignment with market regulations.

Key Responsibilities:
  • Ensure strict adherence to regulatory guidelines, standards and protocols.
  • Formulate, update and communicate compliance policies; conduct staff training to drive awareness.
  • Proactively identify, assess and address regulatory risks; implement corrective measures as necessary.
  • Supervise daily compliance operations, surveillance and timely reporting.
  • Liaise with internal and external auditors and regulators; ensure prompt resolution of audit issues.
  • Implement robust Know Your Customer (KYC), Anti Money Laundering (AML) and insider trading prevention protocols.
  • Investigate compliance breaches and regulatory queries, ensuring transparent and timely resolution.
  • Act as the primary compliance contact for regulatory bodies.
  • Monitor trading activity for potential abuse or prohibited practices.
Requirements
  • Bachelors degree in Law, Commerce, Finance or related field; Masters degree/professional certifications preferred.
  • Minimum 5 years experience in compliance, risk management or regulatory affairs.
  • In-depth knowledge of regulatory frameworks, financial services and surveillance systems.
  • Strong analytical, communication and leadership skills.
  • High standards of integrity, professionalism and attention to detail.
  • Proficiency in compliance software and digital documentation tools.


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