Financial Regulatory Specialist

2 weeks ago

Bengaluru, Karnataka, India beBeeCompliance Full time ₹ 60,00,000 - ₹ 1,40,00,000

About our company:

We are a leading provider of bespoke research, analytics and technology solutions to the financial services sector. Our global network supports over 500 institutions to operate efficiently and unlock their potential.

The Compliance Associate role is responsible for implementing controls and processes to ensure investments adhere to regulatory and client guidelines.

  • Extracting, analyzing, and coding client, regulatory, and internal investment guidelines from investment management agreements
  • Daily review of post-trade incidents, researching potential breaches during trading, and liaising with analysts and portfolio management teams
  • Expertise in compliance processes and ability to perform tasks with minimal support from senior team members

Main Responsibilities:

  • New account on-boarding activities
  • Guideline reviews and account coding
  • Identifying gaps in existing coding and suggesting enhancements
  • Performing daily review of post-trade incidents and thorough investigations to identify root causes
  • Liaising with portfolio managers and ensuring portfolios comply with all guidelines

Required Skills:

  • MBA - Finance / CFA or Law related qualification
  • Capital Markets knowledge/NCFM certifications preferred

Key Competencies:

  • Sound understanding of investment instruments
  • Strong interpretational and logical reasoning skills
  • Experience in Investment Compliance functions including coding and post-trade monitoring
  • Experience in solution providers such as Sentinel, Aladdin, Bloomberg AIM, Geneva

  • Financial Regulatory Specialist

    6 days ago

    Bengaluru, Karnataka, India beBeeRegulatory Full time ₹ 10,00,000 - ₹ 15,00,000

    Job Title: Financial Regulatory SpecialistMain ResponsibilitiesPrepare and file various tax returns, including Estimated Chargeable Income (ECI), Final Tax Returns, GST Returns, Withholding Tax Returns, and Certificate of Residence (COR) applications.Liaise with regulatory bodies to resolve tax audits related to GST, income tax, and withholding tax.Support...

  • Financial Regulatory Specialist

    1 week ago

    Bengaluru, Karnataka, India beBeeCompliance Full time ₹ 18,00,000 - ₹ 25,00,000

    About Compliance Officer PositionThe ideal candidate will be responsible for ensuring that our operations adhere strictly to all regulatory requirements laid down by SEBI, Stock Exchanges, Depositories, and other governing bodies. This includes monitoring and reporting suspicious transactions under Anti-Money Laundering (AML) guidelines, filing periodic...

  • Financial Services Regulatory Expert

    7 days ago

    Bengaluru, Karnataka, India beBeeCompliance Full time ₹ 1,04,000 - ₹ 1,30,878

    Regulatory Compliance Specialist Key Responsibilities:Design and execute comprehensive compliance testing programs for financial products and services.Assess the effectiveness of internal controls and regulatory adherence by analyzing data and interpreting compliance issues using SQL and Excel.Collaborate with product teams to identify regulatory risks and...

  • Financial Operations Specialist

    6 days ago

    Bengaluru, Karnataka, India beBeeAccountant Full time ₹ 8,00,000 - ₹ 12,00,000

    Financial Operations SpecialistThis role involves managing financial transactions, preparing financial statements, and ensuring regulatory compliance. The Financial Operations Specialist will provide insights and support decision-making processes by collaborating with other departments.Responsibilities:Managing financial transactions and preparing financial...

  • Regulatory Reporting Specialist

    2 weeks ago

    Bengaluru, Karnataka, India beBeeAccountant Full time ₹ 50,00,000 - ₹ 75,00,000

    Job OpportunityWe are seeking a highly skilled professional to join our team as a Regulatory Reporting Specialist.The ideal candidate will have a strong background in strategy and delivery, with experience in creating and implementing regulatory reports.This is an exciting opportunity for someone who is passionate about working in a fast-paced environment...

  • Regulatory Specialist

    6 days ago

    Bengaluru, Karnataka, India Vahura Full time

    We are hiring for a role 𝗥𝗲𝗴𝘂𝗹𝗮𝘁𝗼𝗿𝘆 𝗥𝗲𝗹𝗮𝘁𝗶𝗼𝗻𝘀 𝗢𝘃𝗲𝗿𝘀𝗶𝗴𝗵𝘁 with a leading 𝗴𝗹𝗼𝗯𝗮𝗹 𝗳𝗶𝗻𝗮𝗻𝗰𝗶𝗮𝗹 𝘀𝗲𝗿𝘃𝗶𝗰𝗲𝘀 𝗶𝗻𝘀𝘁𝗶𝘁𝘂𝘁𝗶𝗼𝗻. This is an exciting opportunity to work within a dynamic and...

  • Financial Management Specialist

    7 days ago

    Bengaluru, Karnataka, India beBeeAccountant Full time ₹ 6,00,000 - ₹ 10,00,000

    Financial Management SpecialistWe are seeking a highly skilled financial management specialist to join our team in Oak Lawn, IL. The successful candidate will be responsible for managing financial records, preparing financial statements, conducting audits, and providing strategic insights to optimize financial performance.This role is ideal for an individual...

  • Regulatory Compliance Specialist

    6 days ago

    Bengaluru, Karnataka, India beBeeCompliance Full time ₹ 9,00,000 - ₹ 12,00,000

    Job Title: Regulatory Compliance SpecialistAbout the Role:The Regulatory Compliance Specialist plays a pivotal role in supporting clients in ensuring adherence to regulatory standards. This position is responsible for managing and analyzing supplier documentation, preparing audits and reports, maintaining program compliance summaries, providing expert advice...

  • Financial Regulatory Reporting

    3 weeks ago

    Bengaluru, Karnataka, India State Street Full time

    We are looking forState Street is seeking dynamic individuals to join our team as we expand our business function with the introduction of Tailored Shareholder Reports TSR We are looking for individuals who possess a unique blend of business process operation skills a passion for data transformation and a strong interest in technical skills automation ...

  • Financial Operations Specialist

    6 days ago

    Bengaluru, Karnataka, India beBeeAccounting Full time ₹ 1,04,000 - ₹ 1,30,878

    **Job Title:** Financial Operations SpecialistWe are seeking an experienced Financial Operations Specialist to join our team. As a key member of our finance department, you will be responsible for delivering standard financial services, including processing journal entries, completing monthly and quarterly general ledger close activities, and submitting...