Regulatory Compliance Specialist

4 days ago

Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 9,00,000 - ₹ 12,00,000

**Job Description:**

We are seeking a highly skilled Regulatory Compliance Specialist to join our Conduct Advisory, Registrations and Training/Affirmation team.

The successful candidate will be responsible for supporting the process of registering Senior Managers and other relevant staff members with regulatory bodies. This will include:

  • Providing support with registration processes for Senior Managers and Certification Regime (SMCR) activities
  • Liaising with colleagues across corporate functions to ensure compliance requirements are met
  • Supporting processes for staff registrations basis Swap Dealer Associated Person (AP) and Security-Based Swap Dealers Associated Person (AP) requirements by regulatory authorities
  • Working closely with colleagues in London to ensure strong delivery support
  • Reviewing and enhancing offshore processes, policies, and systems to ensure alignment with regulatory requirements
  • Highlighting and supporting the implementation of controls, process enhancements, and efficiency gains related initiatives
  • Collating and reviewing monthly management information and suggesting further enhancements and remediation initiatives where required

Mandatory Requirements:

To be successful in this role, you will need:

  • A basic understanding of the Investment Banking business and Financial Regulatory environment
  • Knowledge of Regulatory registrations & Certifications
  • A basic knowledge of the EMEA regulatory environment
  • Demonstrable project management skills
  • A high level of proficiency on key MS Office packages (Word, PowerPoint, Excel)
  • Excellent written skills with the ability to analyze and summarize complex matters
  • Risk awareness with the ability to prioritize information and topics accordingly
  • Relevant experience in the financial services industry or equivalent at regulators/industry bodies/consultancy firms is desirable

Preferred Qualifications:

  • Prior experience of trade and voice surveillance
  • Power BI/Tableau and other data visualization tools
  • Knowledge of Excel macros
  • Team handling experience

Interpersonal Skills:

  • Ability to represent the Compliance function credibly in discussions with other departments
  • Good interpersonal skills; high ethical standard; collaborative; detail-oriented, with a willingness to learn and adapt
  • Strong time management skills
  • Strong attention to detail, with the ability to ensure data completeness and accuracy
  • Strong administrative skills and analytical approach to problem-solving

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