Regulatory Compliance Specialist

3 weeks ago

Mumbai, Maharashtra, India HDFC securities Full time

Job Title: Regulatory Compliance Specialist

Role / Grade: Assistant Manager/ Deputy Manager

Location: Mumbai

Company Description: HDFC Securities is a leading stockbroking company and a subsidiary of HDFC Bank, one of the world's largest financial services conglomerates. With a strong emphasis on technology and innovation, HDFC Securities offers a diverse range of investment and trading services to retail and institutional clients. Our commitment to technological advancement and regulatory compliance sets us apart as a trusted partner in the financial industry.

Job Overview: We are seeking a highly skilled and experienced Regulatory Compliance Specialist to join our team. The ideal candidate will have 6 - 8 years of corporate experience in the field of regulatory compliance, particularly within the banking or securities industry. The Regulatory Compliance Specialist will be responsible for ensuring that HDFC Securities Ltd adheres to all relevant laws, regulations and industry standards pertaining to Information Technology.

Key Responsibilities:


•Stay abreast of changes in regulatory requirements related to Information Technology, particularly in the banking and securities sectors.


•Conduct regular assessments of HDFC Securities Ltd IT systems, processes and controls to ensure compliance with applicable regulations and industry standards.


•Develop and maintain comprehensive compliance programs, policies and procedures to address regulatory requirements.


•Collaborate with internal stakeholders, including IT teams, legal counsel, and senior management, to implement compliance measures and address any identified gaps or deficiencies.


•Serve as a subject matter expert on regulatory compliance issues, providing guidance and support to various departments within the organisation.


•Coordinate and assist with regulatory examinations, audits, and inquiries, including preparing documentation and responding to requests from regulatory authorities.


•Monitor and track remediation efforts for compliance-related issues and deficiencies, ensuring timely resolution and mitigation of risks.


•Provide training and awareness programs to educate employees about regulatory compliance requirements and promote a culture of compliance throughout the organisation.


•Stay informed about emerging trends, best practices, and technologies in the field of regulatory compliance and information security.

Qualifications:


•Bachelor's degree in a relevant field (e.g., Information Technology, Business Administration, Law), advanced degree preferred.


•6 - 8 years of corporate experience in regulatory compliance, with a focus on Information Technology, preferably in the banking or securities industry.


•Strong knowledge of relevant laws, regulations, and industry standards related to Information Technology and data privacy, such as GDPR, PCI DSS, ISO 27001, NIST, and relevant regulations in India (e.g., RBI guidelines).


•Professional certifications in compliance, such as Certified Regulatory Compliance Manager (CRCM), Certified Information Privacy Professional (CIPP), Certified Information Systems Auditor (CISA) or Certified Information Systems Security Professional (CISSP), or equivalent, are highly desirable.


•Excellent analytical, problem-solving, and decision-making skills, with a keen attention to detail.


•Effective communication and interpersonal skills, with the ability to collaborate with cross-functional teams and communicate complex regulatory requirements in a clear and concise manner.


•Proven ability to manage multiple projects and priorities in a fast-paced environment, with a commitment to meeting deadlines and delivering high-quality results.

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