Expert Regulatory Compliance Specialist

2 weeks ago

Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 1,50,00,000 - ₹ 2,50,00,000

Job Title: Regulatory Controls Associate

About the Role:

We are seeking a highly skilled and experienced Regulatory Compliance Specialist to join our team in Mumbai, India. As a key member of our Asset & Wealth Management department, you will be responsible for ensuring adherence to the Global Control framework across Lines of Business.

Your Key Responsibilities:

  • Design, deliver, and implement strong and sustainable control frameworks and operating models in the regulatory reporting environment.
  • Drive the execution of Control activities within the Operations Regulatory Reporting space.
  • Provide oversight on regulatory reporting issues / breaches, ensuring that root causes are understood and remediation plans are in place.
  • Oversee product ownership of applications used for implementing Control processes.
  • Conduct trainings and roadshows.
  • Facilitate and lead periodic calls with cross-line-of-business, cross-regional stakeholders.
  • Conduct deep dives on aspects of the Regulatory Reporting Controls environment.
  • Plan and report status of ongoing projects and tasks to senior management.
  • Identify, mitigate, and resolve risk and issues across teams, ensuring escalations to the right levels where required.

Your Skills and Qualifications:

  • Understanding of Transaction Reporting for MiFID, CFTC, HKMA, MAS, SEC & EMIR.
  • Significant knowledge of operational processes and controls, with ability to access the risk, controls, and quality assurance functions.
  • Good understanding of the EMEA, APAC & NA regulatory environment.
  • Excellent project management skills with the ability to plan, prioritize, and deliver against deadlines.
  • Ability to negotiate and influence different levels of stakeholders.
  • Proven ability to collaborate with partners across multiple disciplines, functions, and locations.

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