Financial Regulatory Compliance Specialist

1 week ago

Mumbai, Maharashtra, India beBeeAnalytical Full time ₹ 15,00,000 - ₹ 25,00,000
Regulatory Reporting Analyst

This is a pivotal role that oversees and manages daily regulatory reporting and remediation activities. The successful candidate will drive innovation and efficiency by promoting process improvements, ensuring the team consistently delivers exceptional results.

Key Responsibilities:
  • Deal Reviews: Perform reviews within the service level agreement, involving reviewing term sheets versus risk management systems and legal confirmations versus risk management systems.
  • Accuracy and Timeliness: Ensure accurate reviews and timely escalation of unissued/unexecuted documents.
  • Process Efficiency: Drive efficiency in current processes and identify incorrect booking practices, educating middle office on the impact.
  • Relationship Building: Build and sustain strong working relationships with internal lines of business, including middle office, front office, and internal counterparts.
  • Issue Resolution: Investigate and resolve issues in a timely manner as per business standards.
  • Management Information: Prepare weekly management information (MI) and monthly control packs for senior management.
  • Trend Analysis: Analyze MI and report trends and spikes.
  • Testing and Quality Assurance: Participate in various testing related to system enhancements, project implementations, and new business initiatives.
  • Control Gap Identification: Identify control gaps and suggest improvement ideas for better efficiency and effectiveness.
Required Qualifications, Skills, and Capabilities:
  • Strong Partnership Abilities: Strong partnership abilities are essential for this role.
  • ISDA Knowledge and Equity Derivatives Expertise: ISDA knowledge, equity derivatives product knowledge, and equity derivatives experience are required.
  • Complexity Handling and Adaptability: Ability to handle high complexity in product coverage, shift gears with ease, be flexible in workload adjustments according to changing priorities, and be comfortable in a stressful and fast-paced trading environment.
  • Effective Communication: Strong communication skills are necessary for success in this role.
  • Technical Skills: High numeracy, excellent keyboard skills, and high-level computer literacy are required.
  • Risk Awareness: Awareness and understanding of large financial risks incurred through operational errors and control risks are essential.

A bachelor's degree is required for this position.

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