
Regulatory Compliance Expert
4 days ago
This role involves supporting regulatory compliance for a financial institution, ensuring adherence to all relevant regulations and requirements.
- Key Responsibilities:
- Track regulatory changes, update weekly round-ups, and provide administrative support for license management.
- Manage iComply updates and attestations for individual certifications, as well as the Eholdings database.
- Update and manage RACER entries for inspections, requests, and meetings related to SEBI-regulated businesses.
- Manage Licensing and Registration updates and attestations for Equities, IB, Research & DCC, and offline for CEM FX accreditation.
- Support managing NSE Dashboard of Alerts, surveillance-related queries from exchanges and regulators, monitoring activities (RNA) for the organization, submission of RBS reports to exchanges, collation of data for regulatory inspections, and engagement with exchanges to resolve operational queries.
- Disseminate FIU Alerts to relevant teams and coordinate confirmation for responses back to FIU.
Requirements:
- Bachelor's Degree in Finance, Economics, Statistical Mathematics, Data Science, or equivalent discipline.
- 5-7 years of experience in Financial Services Industry with a demonstrated track-record experience and knowledge of Stock Broking / Research compliance.
- Basic understanding of India AML/CFT regulations and requirements.
Preferred Qualifications:
- Chartered Accountant, Master's degree, LL.B, Company Secretary, or other closely related professional qualification.
Competencies:
- Ability to develop and maintain productive relationships with key internal clients.
- Solution-driven approach with exemplary problem-solving skills.
- Good analytical ability.
- Ability to work effectively alone and as part of a team.
- Strong inclination to automation and technology-driven solutions.
- Good written and verbal communication skills.
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