Compliance Analyst -Risk & Regulatory(BFSI)

Compliance Associate

Location: Mumbai
Experience: 2- 5 Years
Employment Type: Full-time

Work Mode: Hybrid

About the Role

We are looking for a Compliance – Associate to support risk management, supervisory affairs, regulatory reporting, compliance governance and control activities. The role involves working closely with Compliance, 1LoD teams, local procedure managers and global stakeholders.

Key Responsibilities

• Track and follow up on open audit recommendations with respective implementation managers.
• Collate monthly new and updated policies/procedures and prepare compliance dashboards.
• Coordinate with local procedure managers to ensure timely updates to procedure implementation pathways.
• Coordinate with 1LoD and Local Compliance teams on open incidents and monitor them through to closure.
• Support onshore teams during RCSA campaigns.
• Prepare and circulate monthly regulatory update reports.
• Record and track recommendations issued by regulators to Local Compliance teams across APAC.
• Assist in preparing monthly/quarterly compliance reports, dashboards and metrics.

Candidate Requirements

• Minimum 2 years of experience in financial services, banking, investment banking, compliance, internal audit or a related regulatory function.
• Experience in compliance monitoring/testing, risk management, internal audit or regulatory activities.
• Good understanding of capital markets and investment banking activities.
• Knowledge of regulatory and compliance frameworks.
• Familiarity with areas such as Market Integrity, Financial Security and Professional Ethics is preferred.
• Strong analytical, investigative and root-cause analysis skills.
• Advanced MS Excel, including macros.
• Strong proficiency in MS Word and PowerPoint.
• Basic knowledge of AI tools/concepts.
• Power BI knowledge is an added advantage.
• Good reporting, dashboard preparation and data-analysis skills.

Education

• Bachelor's degree or equivalent from a recognized university.