Associate Compliance Manager

4 days ago

Bengaluru, Karnataka, India Brickwork Ratings (BWR) Full time ₹ 9,00,000 - ₹ 12,00,000 per year

The role requires considerable experience in Regulatory Compliance with experience reading, interpreting, tracking, and assisting in administrating internal and external guidelines to comply with all regulatory requirements. Must be adept in the preparation of MIS Reports / Dashboards using Advanced Excel Spreadsheets. The individual will be responsible for maintaining repositories, preparing monthly and ad-hoc reports

Role & responsibilities

  • 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

Skills and Competencies:

  • 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.

Job Location: Bangalore

Education: Bachelor's degree in Finance, or and Law, or a related field; Post Graduation and any additional certifications in these fields will be an added advantage.

Experience: 3+ years of relevant experience in the Compliance division in financial services institutions such as credit rating agencies/banks/NBFCs.

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