Compliance Officer

6 months ago

Mumbai, India Brickwork Ratings Full time

**About Brickwork Ratings**

Brickwork Ratings (BWR) is one of India’s leading credit rating agencies, committed to providing the investment community with products and services needed to make informed investment decisions. Established in 2007, Brickwork Ratings, a SEBI-registered and RBI-accredited credit rating agency, has Canara Bank, a leading public sector bank as its promoter and strategic partner.

BWR is headquartered in Bengaluru and has a pan-India presence. The rating team is headed by the analytical prowess of the industry’s most experienced credit analysts and bankers.

BWR offers rating services to Bank Loans, NCD, Commercial papers, Bonds, Mutual Funds, PPMLDs, and Security Receipts. BWR’s ratings have rated over 100,000 large Corporates, Banks, Financial Institutions, State and local Governments, and small businesses. BWR provides investors and lenders, with timely and in-depth research across structured finance, public finance, financial institutions, project finance, and corporate sectors.

**Primary Responsibility**:

- **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**

**Educational Qualification**:
**Any Graduate / Post Graduate. in law, finance, business administration, or a similar field. NISM Certification with current validity is a must. Additional certifications in the legal or compliance domain will be an advantage.

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