Senior Regulatory Advisor
3 days ago
Job Overview
">We seek individuals who embody the highest standards of integrity, professionalism, respect, and a commitment to aligning personal ambition with the collective goals of the organization.
">Designation: Assistant Vice President
">Practice Area: Financial Regulatory Practice
">Key Responsibilities:
">- Steer complex client engagements across regulatory supervision, policy formulation, risk management, regulatory governance, and compliance transformation for both 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.">
- Develop a 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.">
Role and Responsibilities:
">1. Regulatory Interpretation, Inspection & Advisory">- Lead advisory mandates involving the 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.">
- Spearhead the 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.">
- 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.">
- Support in preparation of defensible submissions, responses to enforcement proceedings (including show cause, settlement, or adjudication under SEBI Act, FEMA, etc.).">
- 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 client aligned with evolving best practices and regulatory expectations.">
Requirements:
">- 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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