Highly Skilled Financial Regulatory Professional

**Job Overview**

We are seeking highly skilled professionals who embody the highest standards of integrity, professionalism, and respect in every interaction.

The successful candidate will play a senior role within our Financial Regulatory Practice, leading complex client engagements across regulatory supervision, policy formulation, risk management, regulatory governance, and compliance transformation for both SEBI- and RBI-regulated entities.

This position demands exceptional expertise from supervisory, enforcement, and commercial banking environments, acting as a strategic advisor to clients on SEBI/RBI compliance, risk mitigation, senior management accountability, market/insider conduct, and enforcement readiness.

The ideal candidate will have strong analytical skills, attention to detail, and high ethical standard.

• 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.
• Compliance Program Development & Enterprise Compliance
  • 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.
• 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.