Conduct regulatory compliance audits for financial-sector clients by interpreting Indian regulatory requirements, translating them into control frameworks, performing risk assessments and evidence reviews, identifying gaps, preparing audit reports, tracking remediation, and supporting regulatory queries. The role engages senior stakeholders, compliance teams, IT personnel, and regulators while managing audit timelines and deliverables.
Role Summary
We are looking for a high-calibre Regulatory Auditor with strong expertise in the Indian regulatory ecosystem
(RBI, SEBI, IRDAI, UIDAI, etc.) to execute regulatory compliance audits for financial sector clients. The role
demands strong regulatory interpretation capability, structured audit execution, and the ability to translate
regulatory circulars into measurable, testable controls.
Key Responsibilities
o Interpret regulatory circulars, master directions, and supervisory advisories and translate them into control
frameworks and audit checkpoints.
o Execute end-to-end regulatory audits: scoping, risk assessment, fieldwork, evidence validation, reporting,
and closure tracking.
o Conduct gap assessments against RBI, SEBI, IRDAI, UIDAI, and other applicable regulatory requirements.
o Validate control effectiveness through structured evidence review.
o Draft high-quality audit reports and management-ready observations.
o Support client responses to regulatory queries and supervisory inspections.
o Engage confidently with CXOs, compliance heads, IT teams, and regulators.
o Manage timelines, deliverables, and stakeholder expectations across engagements.
Required Expertise
o Strong understanding of Indian regulatory frameworks (RBI, SEBI, IRDAI, UIDAI).
o Experience in regulatory audits / IS audits / IT governance assessments.
o Ability to independently interpret circulars and derive compliance obligations.
o Strong documentation, analytical, and stakeholder management skills.
Certifications (Mandatory – at least one)
o CISA
o ISO/IEC 27001 Lead Auditor
Preferred Background
Experience in banking, financial services, insurance, fintech, or other regulated entities
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