Regulatory Compliance Manager

Job Summary:

The Regulatory Compliance Manager will oversee and ensure the company’s compliance with all applicable industry regulations, legal requirements, and internal policies. The role involves developing compliance strategies, conducting audits, mitigating risks, liaising with regulatory bodies, and guiding internal teams on regulatory changes. The ideal candidate brings deep subject-matter expertise, strategic thinking, and proven leadership in managing compliance frameworks.

Key Responsibilities:

Regulatory & Compliance Management

• Develop, implement, and maintain the organization’s regulatory compliance program.
• Monitor evolving regulatory requirements and assess their impact on business operations.
• Ensure adherence to laws, standards, and guidelines applicable to the industry (e.g., RBI, SEBI, IRDAI, ISO, PCI DSS, GDPR, SOX, etc. — modify as per your industry).
• Conduct regular internal audits, compliance reviews, and risk assessments.
• Implement corrective and preventive actions based on audit findings.

Policy Development & Governance

• Formulate, review, and update compliance policies, SOPs, and guidelines.
• Establish compliance controls and governance frameworks across departments.
• Oversee documentation and record-keeping to comply with statutory and regulatory requirements.

Regulatory Liaison & Reporting

• Serve as primary point of contact with regulatory authorities.
• Prepare, review, and submit regulatory filings, reports, and disclosures on time.
• Manage regulatory inspections, audits, notices, and responses.
• Coordinate with internal teams for regulatory submissions and compliance documentation.

Risk Management

• Identify potential compliance risks and develop mitigation strategies.
• Conduct enterprise-wide risk assessments and support implementation of risk-based controls.
• Develop compliance monitoring mechanisms and escalation procedures.

Training & Awareness

• Design and deliver compliance training programs for employees and leadership teams.
• Build awareness on regulatory standards, ethical practices, and internal policies.
• Ensure proper documentation of training and awareness sessions.

Leadership & Stakeholder Management

• Lead and mentor a compliance team and ensure effective workload distribution.
• Provide strategic compliance guidance to senior management and cross-functional teams.
• Collaborate with Legal, HR, Finance, Operations, IT, and other departments to drive compliance culture.

Required Skills & Competencies

• Strong knowledge of regulatory frameworks relevant to the industry.
• Expertise in compliance audits, policy formation, risk management, and regulatory liaison.
• High-level understanding of legal documentation, corporate governance, and reporting systems.
• Excellent analytical, problem-solving, and decision-making capabilities.
• Strong communication, documentation, and stakeholder management skills.
• Ability to manage large-scale compliance programs independently.

Educational Qualifications

• Bachelor’s or Master’s degree in Law, Business Administration, Finance, or related field.
• Additional certifications such as LLB/LLM, Certified Compliance Manager, CCEP, CRMA, or equivalent are preferred.

Preferred Profile

• 15–20 years of proven experience in regulatory compliance roles.
• Experience working with regulators and managing regulatory audits.
• Strong background in governance, risk, and compliance (GRC).