Compliance Specialist

1 month ago


Aurangabad, India Live Connections Full time

Dear Applicants,



Job responsibilities :


• Possess expertise in key areas of Capital Markets and Asset Management, such as Investment Compliance, Trade and Market Surveillance, Conduct Risk, Security Operations, and Wealth Management Operations.

• Knowledgeable about U.S. and International Banking or Capital Markets regulations (e.g., SEC, FINRA, DOL, FCA, CFTC, EBA).

• Understand financial products across asset classes, including Equities, Fixed Income, Currency, and Derivatives.

• Collaborate with subject matter experts in risk management to assess capability gaps, design future states, and outline implementation strategies.

• Lead large transformation/implementation projects, including requirement gathering, data analysis, and gap analysis, converting business requirements into functional specifications, and coordinating testing.

• Support the implementation of complex regulatory initiatives (e.g., Basel IV, CCAR, FRTB, CECL, Libor transition) by drafting position papers, business and functional requirements, test plans, and user guides.

• Conduct capital and liquidity assessments and support capital optimization programs.

• Validate capital plans, resolution plans, and QIS submissions.

• Develop risk registers, conduct RCSAs, define KRIs, and manage risk scenario libraries and analyses.

• Establish/review processes, controls, and technology infrastructure for regulatory report production/attestation (e.g., FR-Y14A/Q/M, FR-Y9C, FFIEC 101, COREP, FINREP, FR2052a, LCR, NSFR).

• Understand risk regulatory frameworks of major economies (e.g., US, EU) and principles such as Basel II/III, Dodd Frank, ICAAP, MIFID II, IFRS9, PSD2.

• Manage program management offices for large change management initiatives.

• Optimize AML & KYC processes, focus on Fraud Risk Management, Compliance Analytics, Enterprise Risk Management, Data Analysis & Aggregation, Trade Surveillance, and Robotic Process Automation.

• Support pursuits and market-facing eminence efforts.

• Engage in stakeholder management and problem-solving with strong communication skills.


Required skills

• 4-8 years of experience in any/all the above areas is preferred:

• Working for financial services consulting firm, a large bank, or broker-dealer

• Working for the U.S. or International Banking or Capital Markets Regulator (e.g. SEC, CFTC, EBA, FCA etc.)

• Exposure to working in globally distributed workforce environment including onshore and offshore.

• Excellent communication and interpersonal skills to discuss requirements and their solutions with Front office users such as PM and Traders

Qualification

• Master’s degree in Finance/ Master of Business Administration (MBA)

• Bachelor’s degree in Engineering, or other related technical discipline

• FRM and/or CFA certification preferred



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