Compliance Officer

2 weeks ago

Bengaluru Karnataka, India Brickwork Ratings Full time

**About Brickwork Ratings**

Brickwork Ratings (BWR) 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. Established in 2007, Brickwork Ratings, a SEBI-registered and RBI-accredited credit rating agency, has Canara Bank, a leading public sector bank as its promoter and strategic partner.

BWR is headquartered in Bengaluru and has a pan-India presence. The rating team is headed by the analytical prowess of the industry’s most experienced credit analysts and bankers.

BWR offers rating services to Bank Loans, NCD, Commercial papers, Bonds, Mutual Funds, PPMLDs, and Security Receipts. BWR’s ratings have rated over 100,000 large Corporates, Banks, Financial Institutions, State and local Governments, and small businesses. BWR provides investors and lenders, with timely and in-depth research across structured finance, public finance, financial institutions, project finance, and corporate sectors.

**Primary Responsibility**:

- 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

**Competency / Skills**:

- 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.

**Educational Qualification**:
**Bachelor’s degree in Finance, Law, Business, or related field; Post Graduation will and any additional certifications in these fields will be an added advantage.

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