Associate Vice President - Risk & Compliance

Designation : Assistant Vice President (AVP)

Practice Area : Risk & Compliance Practice

Location : Mumbai

Experience : 8+ years (in a bank / FI’s compliance function or in a full-fledged advisory / consultancy firm)

Job Overview :

The AVP candidate will play a senior role within the Risk & Compliance Practice. The role entails delivering high – impact advisory projects involving complex client engagements, across risk and compliance domain for banks and financial institutions. It involves designing and reviewing risk frameworks, policies and delivering expert advisory on risk, regulatory inspections and enforcements, and overall compliance management. The ideal candidate will demonstrate strong domain expertise, leadership skills, and a proven track record of managing risk and compliance projects for BFSI clients. The candidate needs to have a strong consulting pedigree with solution orientated approach to provide actionable strategies for clients to address dynamic and complex regulations. This role is designed for professionals who have successfully led client-facing engagements, navigated complex regulatory landscapes, and delivered strategic solutions in risk and compliance domain.

Role and Responsibilities :

1. Advisory on Regulations

• Lead risk and compliance advisory projects for clients in the BFSI sector.
• Lead client engagements focused on interpreting and implementing SEBI / RBI / IFSCA regulations.
• Provide strategic advisory on regulatory inspection findings, enforcement actions, and internal controls reviews.
• Supporting clients in creating Regulatory Obligation Registers, ensuring adherence to regulatory guidelines, managing regulatory changes, compliance testing and in regulatory mandated compliance reviews.
• Provide advisory solutions on listing obligations & disclosures, front-running, mis-selling, conflict of interest, compliance with rules by depositories and stock exchanges.
• Regulatory reporting and disclosures.

2. Development & Review of Compliance Frameworks, Policies

3. Market Conduct, Insider Trading & Fraud Risk

4. Governance Frameworks and Board Effectiveness

Required Skills and Qualifications :

We are an equal opportunity employer and value diversity. We do not discriminate based on gender, race, age, sexual orientation, and religious identities or any other applicable characteristics protected by law. We seek individuals who uphold the highest standards of integrity, demonstrate professionalism in every interaction, treat others with respect, and consistently align personal ambition with the collective goals of the firm.