Regulatory Compliance Specialist

4 days ago


Bengaluru, Karnataka, India Brickwork Ratings Full time

Company Overview

Brickwork Ratings 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.

The company was established in 2007 and is headquartered in Bengaluru with a pan-India presence. It has a strong team of experienced credit analysts, bankers, and regulators who provide timely and in-depth research across various sectors.

About the Role

We are seeking an experienced Regulatory Compliance Specialist to join our team in Bangalore. The role requires considerable experience in regulatory compliance, reading, interpreting, tracking, and assisting in administering internal and external guidelines to comply with all regulatory requirements.

The ideal candidate will be adept in preparing MIS reports / dashboards using advanced Excel spreadsheets, maintaining repositories, and preparing monthly and ad-hoc reports. They will also be responsible for collaborating with various departments for comprehensive regulatory compliance management and keeping the compliance officer updated on any shortcomings to be addressed.

Key Responsibilities

  • Strict control over Organizational Data Repository related to Regulatory Compliance for Preparation of Regulatory reports, Dashboards, Presentations
  • Proficient in Regulatory Circulars/Guidelines' Interpretation
  • Assisting the Compliance Officer in gap analysis on new Regulatory Guidelines to ensure implementation
  • Collaborate with various departments for comprehensive Regulatory Compliance management and keep the Compliance Officer updated on any shortcomings to be addressed
  • Hands-on experience in assisting the Compliance Officer in preparing the periodical and ad-hoc Regulatory Reports sought by SEBI/RBI
  • Ensure compliance of staff to policies such as Staff Accountability Policy, Trading Policy, Code of Conduct, etc., and maintain related documentary evidence
  • Answering employee queries relating to compliance-related matters

Requirements

  • Domain Knowledge of Regulatory Compliance - Strong understanding of legal and regulatory requirements in the financial services industry - specifically in credit rating agencies/banks/NBFCs
  • Strong understanding of regulatory requirements (SEBI, RBI, NSDL) and relevant industry standards
  • Familiarity with regulatory portals such as NSDL etc.
  • Proficient in MS Office
  • Especially an Excel expert with Advanced Excel skills, and the ability to analyze complex data and present meaningful reports to senior management
  • Team Player with the ability to execute compliance projects focused on regulatory compliance
  • Provides necessary support to the Compliance Officer to implement compliance and risk management policies
  • Strong analytical, problem-solving, verbal, and written communication skills
  • Attention to detail

Salary Information

The estimated salary for this role is around ₹12-15 lakhs per annum, depending on the candidate's experience and qualifications. This is a competitive package that reflects the importance of the role in ensuring regulatory compliance within the organization.



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