Compliance Officer
4 weeks ago
Role Summary
As a Compliance Officer, you will be responsible for ensuring that all organizational operations and business processes of the credit rating agency (CRA) are compliant with the regulatory guidelines, and legal and internal operating procedures of the CRA. The Officer is also responsible for reviewing the work of the CRA’s Staff with respect to adherence to all required compliances and advising/training them on these matters. Your goal will be to ensure that we operate in a regulatory / legally / operationally compliant and ethical manner while meeting our objectives.
To succeed in this role, you should be a strong and reliable professional who is not afraid to speak their mind and stand by their decisions. You should be familiar with the credit rating industry standards. If you have all these qualities and acumen, we would like to meet you.
Immediate / Early Joiners are preferred .
Location: Bengaluru, Karnataka
Job Responsibilities
Interaction with the Regulators on all regulatory matters related to the functioning of the CRAs
Be up-to-date and abreast on all the regulatory guidelines relating to credit rating agencies and take timely and suitable steps to implement them.
Timely preparation submission of Regulatory Reports as and when sought by the Regulators
Ensuring that the CRA’s Staff observe and perform their duties in line with the organization's core values of Integrity, Service, Ethics, and Accountability
Create sound internal compliance controls and monitor adherence to them. Regularly audit processes, practices, and documents to identify weak processes and eliminate the risks of non-compliance.
Draft and revise company policies in line with all the compliances that will uphold all regulations and laws that bind the CRA
Collaborate with auditors (both internal and external) and all departments of the organization to ensure strict compliance.
Educate and train the staff on regulatory guidelines, internal process guidelines, and industry practices as well as address their concerns/questions relating to these.
Coordinate with legal consultant/s for the Company’s legal matters to address them appropriately and provide relevant and necessary information.
Participate in structuring terms and reviewing legal documents for derivative transactions, letters of credit, and liquidity facilities.
Competency / Skills
Should have a Valid Certificate for having passed the " NISM-SERIES-III-A-SECURITIES INTERMEDIARIES COMPLIANCE (NON-FUND) CERTIFICATION EXAMINATION" conducted by the NISM (National Institute of Security Markets)
Proven experience as a Compliance Officer, preferably in a credit rating agency.
Well-versed in regulatory requirements and laws concerning credit rating agencies to ensure the company's compliance meets those requirements and laws.
Experience in operational / enterprise risk management
Excellent Excel reporting and analysis skills
Knowledge of legal requirements and controls (e.g. Anti-Money Laundering, or AML)
Familiarity with industry practices of a CRA and professional standards
Excellent communication skills
Integrity and professional ethics
Team player
Attention to detail
Education: Must have a Bachelor's degree in Law and must be a Qualified Company Secretary . A Master's degree is preferred. NISM Certification with current validity is a must. Additional certifications in the legal or compliance domain will be an advantage.
Work Experience: An overall experience of 12 to 15 years in this domain with a minimum of 7 to 8 years of direct experience in the above role
Interested candidates may send their updated resumes to with the subject line "Compliance Officer:
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