Compliance Team Member

Team Member - Compliance-SUPPORT SERVICES-Compliance

About the Job The expectation and primary accountability of the position in the Compliance Department is to monitor, understand, interpret and guide business teams regarding new regulations emanating from financial services and capital market regulators (such as SEBI, NPCI, NSDL, CDSL etc.).

1. To monitor new regulations as and when they arise, and to promptly circulate these to relevant internal stakeholders.

2. Proactively analyze the impacts, allocate actions to business owners, and provide guidance on implementation.

3. Perform testing of actual implementation to ensure that the revised process & controls are sufficient to meet regulatory expectations from both, a design & operating effectiveness perspective.

4. Assist senior stakeholders in preparing notes for engagement with regulators as and when required, to obtain clarity on the regulations.

Job Requirements: The candidate should possess the following attributes:

 Graduate with 5 years of work experience in banking / financial services / securities in the Compliance team or in an assurance role with particular focus on regulatory compliance.

 Knowledge about key regulatory requirements relating to financial services and capital market regulators (such as SEBI, NPCI, NSDL, CDSL etc.).

 Hands-on experience of implementing or monitoring implementation of regulations. Prior audit or assurance background will be preferred.  Functional knowledge about bank functioning – different business segments and functions with particular focus on financial services / capital markets. Prior experience of working in Compliance in a Securities entity is preferred.

 Ability to perform under pressure within the given time lines. Should possess good communication / interpersonal / problem solving skills and has to be a quick learner.

 Diligent, hard-working & a team player, with ability to drive outcomes when working with other stakeholders.  Proficient in working on MS Office tools.

1. To monitor new regulations as and when they arise, and to promptly circulate these to relevant internal stakeholders.

2. Proactively analyze the impacts, allocate actions to business owners, and provide guidance on implementation.

3. Perform testing of actual implementation to ensure that the revised process & controls are sufficient to meet regulatory expectations from both, a design & operating effectiveness perspective.

4. Assist senior stakeholders in preparing notes for engagement with regulators as and when required, to obtain clarity on the regulations.

 Graduate with 5 years of work experience in banking / financial services / securities in the Compliance team or in an assurance role with particular focus on regulatory compliance.

 Knowledge about key regulatory requirements relating to financial services and capital market regulators (such as SEBI, NPCI, NSDL, CDSL etc.).

 Hands-on experience of implementing or monitoring implementation of regulations. Prior audit or assurance background will be preferred.  Functional knowledge about bank functioning – different business segments and functions with particular focus on financial services / capital markets. Prior experience of working in Compliance in a Securities entity is preferred.

 Ability to perform under pressure within the given time lines. Should possess good communication / interpersonal / problem solving skills and has to be a quick learner.

 Diligent, hard-working & a team player, with ability to drive outcomes when working with other stakeholders.  Proficient in working on MS Office tools.