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Job Description
Structured overview of role & requirementsAbout This Role
Monitor and interpret regulatory developments related to securities services and custody, including local and international regulations such as SEC, FCA, ESMA, and CSDR.
Conduct periodic compliance reviews of custody operations, transaction processing, asset safekeeping, and client reporting to ensure regulatory adherence.
Assist in policy implementation, risk assessment, audit support, and prepare regulatory assurance reports for management while managing remediation actions and stakeholder engagement.
Minimum Requirements
Bachelor’s degree in Finance, Business, Law, or related field.
Minimum 2 years’ experience in regulatory compliance, assurance, or audit within financial services, preferably in securities services or custody.
Strong knowledge of securities regulations and regulatory frameworks including CSDR, MiFID II, SEC, FCA, or similar.
Location: Bangalore only.
Ideal Candidate Profile
Experience working in regulatory compliance or assurance within securities services or custody operations, showing familiarity with operational controls and client asset protection.
Capability to interpret complex regulatory requirements and support the implementation of compliance frameworks.
Proven ability to manage multiple stakeholders including compliance, legal, operations teams, auditors, and regulators effectively.