Hiring for a Financial Organisation

Location: Mumbai

Experience Required: 1215 Years

About the Role:

We are looking for an experienced Regulatory Compliance and Enforcement professional to lead regulatory governance, disciplinary proceedings, grievance redressal, and compliance oversight functions within a leading financial market institution.

The role requires strong understanding of capital market regulations, regulatory inspections, enforcement frameworks, stakeholder management, and interactions with regulatory authorities.

Key Responsibilities:

Regulatory Enforcement & Governance:

- Lead end-to-end enforcement activities arising from inspections, audits, surveillance findings, and regulatory observations.

- Evaluate non-compliance cases and recommend appropriate regulatory and disciplinary actions.

- Ensure consistency, transparency, and effectiveness of enforcement decisions.

- Prepare and present enforcement matters before internal committees and governance forums.

- Monitor closure of enforcement actions and implementation of corrective measures.

Regulatory Compliance & Stakeholder Management:

- Manage interactions with regulatory authorities and ensure timely submission of reports, disclosures, and responses.

- Support regulatory inspections, audits, reviews, and compliance assessments.

- Interpret regulatory developments and assess their impact on existing compliance frameworks.

- Liaise with internal stakeholders including Legal, Risk, Operations, Surveillance, Audit, and Senior Management teams.

Investor Grievance & Regulatory Complaints:

- Oversee grievance redressal mechanisms and ensure compliance with prescribed timelines.

- Monitor complaint trends and recommend corrective actions.

- Prepare management reports and committee updates on grievance-related matters.

Penalty & Disciplinary Framework:

- Review and strengthen penalty and disciplinary frameworks.

- Benchmark enforcement practices against industry standards and regulatory expectations.

- Evaluate exceptional cases and recommend appropriate actions.

Process Excellence & Automation:

- Drive process improvements, digitization, and automation initiatives.

- Develop SOPs, governance frameworks, and control mechanisms.

- Identify opportunities to enhance operational efficiency and compliance effectiveness.

Team Leadership:

- Lead, mentor, and develop team members.

- Drive a strong compliance and governance culture.

- Monitor performance, productivity, and capability enhancement initiatives.

Desired Candidate Profile:

Qualifications :CA / CS / MBA (Finance) / LLB or equivalent professional qualification.

Experience: 08-12 years of experience in Regulatory Compliance, Enforcement, Regulatory Affairs, Surveillance, Market Regulation, or Governance functions.