Regulatory Compliance

4 weeks ago

india Investment Bank Full time

JOB RESPONSIBILITIES

The role in Finance & Regulatory Compliance shall encompass various tasks including, but not limited to, the following:

  • Liaise with Risk and contro l team to provide regular updates
  • Actively formulate compliance tests for client processes
  • Analysing data and reviewing supporting documentation provided by the business
  • Assessing risk related to policies/ process and working on identifying new controls
  • Identifying enhancements and remediate actions to address compliance gaps
  • Prepare reports for management in a summarised form
  • Prepare process knowledge documentations like SOPs, Cheat sheets, etc.
  • Provide regular updates to the team lead and management for day to day activities
  • Work on Employee compliance modules for financial industry regulation
  • Conduct Audits, Monitor and perform compliance checks
  • Work extensively on Excel based reports, analyse, and prepare compliance reports
  • Prepare Monthly/Quarterly/Yearly reports and presentations
  • Maintain and manage document and policy checklist repositories
  • Experience in working on different tools for Risk and control
  • Carry out and oversee detailed info gathering, process mapping, analysis and other activities with objective to identify and assess compliance risks. For this purpose, extensive interaction with other departments and functions is expected

Reports to

Team Lead / Manager

How You Add Value

(including but are not limited to)

You have at least 4 - 8 years’ experience in the Finance & Regulatory/corporate department of a fiduciary or have worked in a company engaged in providing finance services compliance check. You are willing and looking to consolidate and grow your skills and talents in the long term with a company that works in a strong team and results-based environment. You speak English fluently and bring on table:

  • Good exposure to finance compliance and audit process
  • Hands on experience of providing basic financial services audit and compliance check
  • Proficiency in using MS Office Tools
  • Ability to work in team environment as well as independently
  • Ability to resolve complex problems efficiently
  • Excellent interpersonal or organization skills

DESIRED SKILLS & COMPETENCIES

  • Logical Thinking
  • Experience /exposure to similar work environment
  • Attention to detail
  • Experience in analyzing documents
  • Maintain detail documentation and reports for key stakeholders
  • Effective communication and written skills

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