Dear Candidate,We are looking for CA freshers (Batch May2024 Nov2024) who have cleared CA finals in total 4 attempts Please find below JD for the Compliance role -Purpose / key objective of role The role requires the employee to execute the tasks allotted by the reporting manager(s), in relation to the following compliance areasRegulatory updates and implementation- Review regulatory updates and regular tracking and implementation of any regulatory requirements and any other compliance matters Advisory role with respect to processes- Providing advisories to stakeholder on various regulatory aspects Engage with partners and stakeholders to enable compliance related onboarding and servicing processes Agreement review- Review intermediary and service partner agreements Regulatory Monitoring and reporting- Ensuring monitoring and risk mitigation along with timely analysis and regulatory reporting Relook at existing processes and evaluate/implement automation to reduce people dependency and errors Ensure record keeping of Compliance departmental records in line with regulatory requirements Regulatory engagement- Engaging with regulators through representations, draft responses and notes on various compliance matters Management engagement- Engaging with management on certain requirements and escalations, preparing presentations etc IRDAI correspondence management, SOX compliance and other projects- Recording the to and fro correspondence with IRDAI, ensuring compliance to SOX and other projects as identified from time to time"

Performs, establishes and informs clients of the process flows for corporate action events/settlements. At least meet or exceed clients agreed service level requirements and achieve high standard of quality and commitment. Key Accountabilities Account opening for various entities including FPI, FVCI, FDI, AIF etc Performing end to end testing for various systems of SFS. Handling various regulatory audits. Manage process risks Timeliness to ensure that all Corporate Announcements and settlements & processing are done within TAT of receipt of announcements or proceeds. Accuracy to ensure at least 100% accuracy. Should be aware of the latest SEBI / RBI regulations governing custody. Responsive to ensure that all clients queries are responded to within 24 hours of receipt of query or if not to provide interim reply and to follow with a response within 3 days Risk- to ensure that there are no critical audit findings / issues and to escalate any immediate and time critical issues to higher authorities. People to participate in staff surveys, attend training when nominated and be crossed trained in other areas of work within the section or across section in order to become a well-trained leave cover. Job Duties & Responsibilities Checker for the section. Preparing regulatory reporting for various regulators. Prepare management/other reporting. Able to cover staffs that are on leave. Assist/participate in system development/enhancements. Escalate/follow-up on problem cases. Attend meetings related to work scope. Required Experience Previous experience with a Custodian preferably in Corporate Actions and settlements. Education / Preferred Qualifications Graduate. Core Competencies Should possess the following skills: Communication Teamwork & Collaboration Ownership of Result Problem Solving Technical Competencies Should possess the following competencies: Knowledge of Securities Markets SWIFT Awareness of FII & Custodian regulations Sound knowledge of depository module of NSDL & CDSL (DPM) Work Relationship Superior(s) :Direct Supervisor Subordinate(s) :Team Members in Custody Operations Peers:IT Support, Operations Team, T&M, Marketing, Finance & Controls. External Parties:Brokers, Other Custodian Banks, Depository, Exchange, Merchant Bankers and Local Authorities

Key Responsibilities Work with In-Country teams / Compliance / Tech and passing on key messages to team Drive improvement in processes and services based on gained knowledge Migrate and run BAU for In-Country Reporting function All aspects of tasks related to prevention, detection, assurance and oversight of Regulatory reporting function Timely responses to external and internal queries Build tactical and strategic processes and collaborate with Technology and Change teams to deliver them Ensure adherence to Process Documents including regular up-dation and execution of the same Ensure robust control framework is enriched and followed by Regops team Manage team work allocations and quality delivery Actively participate in group Projects / changes People and Talent Ensure the Regulatory Operations team is appropriately skilled, motivated and enabled to deliver and maintain a high-quality control environment across reporting function Adopt and promote a culture of risk awareness and accountability for controls and processes People need to be team players with the ability to collaborate across global Regulatory Operations team Risk Management Create a control framework that effectively executes prevention, detection, Assurance and oversight processes for In-Country Regulatory Reporting functions Understand the system architecture limitations and remediation plans to ensure impact on day to day reporting can be mitigated Evolve, improve and question processes to ensure the team are working in an environment of continual change while having certainty around how current DOI processes should be completed Ensure timely escalation of errors, omissions and technical issues impacting the performance of the reporting function Provide a daily dashboard of performance to provide visibility of the performance of the reporting function Display exemplary conduct and live by the Groups Values and Code of Conduct Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across Standard Chartered Bank This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct Achieve the outcomes set out in the Banks Conduct Principles Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters Our Ideal Candidate Experience in handling reconciliation breaks and remediating the same in collaboration with various stakeholders Some experience of regulatory reporting e g MIFID, EMIR, Dodd-Frank reporting and the systems used by banks to report trades Strong understanding of the regulatory landscape including APAC, MIFID, SFTR EMIR, DF,STAYS, BOE etc Excellent communication skills, both externally with the FM clients and internally with stakeholders Previous experience of banking reporting systems, remediation and the messaging between systems An understanding of the key FM / FMO functions in the bank Flexible to change and ?Agileways of working Experience working in a control focused environment Ability to work as part of a global team to meet goals Previous experience of managing a team Knowledge of FM products About Standard Chartered We're an international bank, nimble enough to act, big enough for impact For more than 170 years, we've worked to make a positive difference for our clients, communities, and each other We question the status quo, love a challenge and enjoy finding new opportunities to grow and do better than before If you're looking for a career with purpose and you want to work for a bank making a difference, we want to hear from you You can count on us to celebrate your unique talents and we can't wait to see the talents you can bring us Our purpose, to drive commerce and prosperity through our unique diversity, together with our brand promise, to be here for good are achieved by how we each live our valued behaviours When you work with us, you'll see how we value difference and advocate inclusion Together We Do the right thing and are assertive, challenge one another, and live with integrity, while putting the client at the heart of what we do Never settle, continuously striving to improve and innovate, keeping things simple and learning from doing well, and not so well Are better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term What We Offer In line with our Fair Pay Charter, we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing Core bank funding for retirement savings, medical and life insurance, with flexible and voluntary benefits available in some locations Time-off including annual leave, parental/maternity (20 weeks), sabbatical (12 months maximum) and volunteering leave (3 days), along with minimum global standards for annual and public holiday, which is combined to 30 days minimum Flexible working options based around home and office locations, with flexible working patterns Proactive wellbeing support through Unmind, a market-leading digital wellbeing platform, development courses for resilience and other human skills, global Employee Assistance Programme, sick leave, mental health first-aiders and all sorts of self-help toolkits A continuous learning culture to support your growth, with opportunities to reskill and upskill and access to physical, virtual and digital learning Being part of an inclusive and values driven organisation, one that embraces and celebrates our unique diversity, across our teams, business functions and geographies everyone feels respected and can realise their full potential

Job Summary Strategy Responsible to manage Regulatory reporting function and its deliverables in accordance with Regulatory requirements and provider greater insights across all Liquidity metrics submitted to the stakeholders Work across Group, Country, Business and Change teams with an aim to improve accuracy of reporting and drive initiatives to optimize Liquidity and RWA thereby contributing to improve Group RoTE Business Strong functional content across Basel framework (Basel II, III and IV); Liquidity metrics computation and methodologies, with key drivers Good understanding on Banking Products and able to co-relate to Risk Weighted Assets / Regulatory Reporting Candidate must be familiar with the use of SQL to interrogate and extract the data for analysis Understanding of Moody's reporting platforms is an advantage SAS and/or Python knowledge is an added benefit Candidate must be familiar with regulatory requirements for data management BCBS 239 and PRA requirements Processes Ensure the operational efficiency, accuracy and completeness of the reports are monitored with appropriate KPIs Establish robust control and governance on the reporting process including the requirements to manage report quality and operational control This includes expected data quality monitoring required in the reporting standards for regulatory reporting Continuously strive for process improvement with standardisation, simplification and automation People & Talent Collaborate with various teams to resolve Liquidity issues; transition changes into BAU efficiently that is aligned with the regulatory and banks technology objectives Build relationships to improve collaboration across Change, Technology and Business teams to implement changes into Liquidity CoE Risk Management Candidate needs to be able to articulate the Liquidity metrics and drive the discussion with Senior stakeholders across Finance, Risk, Treasury and Business to meet the requirements Provide Consultation/Support in dealing with business queries relating to Liquidity metrics , all other internal and external Liquidity regulatory reports Governance Monitor and ensure that appropriate Change governance is followed across all transformation initiatives Represent the function at the governance forums in place for tracking change initiatives and influence decisions in respect of the change backlog, prioritisation, choice of technology tools and the operating model Regulatory & Business Conduct Display exemplary conduct and live by the Groups Values and Code of Conduct Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across Standard Chartered Bank This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct Lead to achieve the outcomes set out in the Banks Conduct Principles Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters Key Stakeholders GPO/GPM, Liquidity Group Regulatory Reporting Head and Reporting Leads Credit and Market Risk functions Functional Heads and Leads Liquidity Change Management Head and Leads across Liquidity Change Country Regulatory Reporting CFO, Financial Controller and Country Leads Partner within BSM Liquidity, GFS team and Stakeholders to Build domain expertise in the areas of Balance Sheet Management, Liquidity Risk Management, Interest Rate Risk Management, Fund Transfer Pricing, Benchmarking & Stress Test Data Framework, and the relevant policies, procedures, and practice guides, and regulatory reporting guidelines including Basel III Qualification MBA (Fin) or Masters in Finance/Accountancy/Economics or affiliated subjects; Undergraduate degree in Science / Engineering / Commerce Chartered Accountants: Risk Management or related Professional Certification will be an added advantage Minimum of 7 years of Liquidity Regulatory Reporting Strong knowledge of Liquidity regulations and metrics; Proficient in analytics to drive deep understanding of Liquidity; Collaboration mindset; able to deliver solutions to improve BAU Role Specific Technical Competencies Strong functional content across Basel framework (Basel II, III and IV); Capital metrics computation and methodologies, with key drivers Good understanding on Banking Products and able to co-relate to Risk Weighted Assets / Regulatory Reporting Candidate must be familiar with the use of SQL to interrogate and extract the data for analysis SAS and/or Python knowledge is an added benefit Candidate must be familiar with regulatory requirements for data management BCBS 239 and PRA requirements Stakeholder engagement (across geographies) People leadership and management Technical skills like Advanced Excel (including macro) and Python / R Knowledge on Balance Sheet Management systems like Moodys, Oracle, QRM About Standard Chartered We're an international bank, nimble enough to act, big enough for impact For more than 170 years, we've worked to make a positive difference for our clients, communities, and each other We question the status quo, love a challenge and enjoy finding new opportunities to grow and do better than before If you're looking for a career with purpose and you want to work for a bank making a difference, we want to hear from you You can count on us to celebrate your unique talents and we can't wait to see the talents you can bring us Our purpose, to drive commerce and prosperity through our unique diversity, together with our brand promise, to be here for good are achieved by how we each live our valued behaviours When you work with us, you'll see how we value difference and advocate inclusion Together We Do the right thing and are assertive, challenge one another, and live with integrity, while putting the client at the heart of what we do Never settle, continuously striving to improve and innovate, keeping things simple and learning from doing well, and not so well Are better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term What We Offer In line with our Fair Pay Charter, we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing Core bank funding for retirement savings, medical and life insurance, with flexible and voluntary benefits available in some locations Time-off including annual leave, parental/maternity (20 weeks), sabbatical (12 months maximum) and volunteering leave (3 days), along with minimum global standards for annual and public holiday, which is combined to 30 days minimum Flexible working options based around home and office locations, with flexible working patterns Proactive wellbeing support through Unmind, a market-leading digital wellbeing platform, development courses for resilience and other human skills, global Employee Assistance Programme, sick leave, mental health first-aiders and all sorts of self-help toolkits A continuous learning culture to support your growth, with opportunities to reskill and upskill and access to physical, virtual and digital learning Being part of an inclusive and values driven organisation, one that embraces and celebrates our unique diversity, across our teams, business functions and geographies everyone feels respected and can realise their full potential

What impact will you make? Every day, your work will make an impact that matters, while you thrive in a dynamic culture of inclusion, collaboration, and high performance. As the undisputed leader in professional services, Deloitte is where youll find unrivaled opportunities to succeed and realize your full potential. Deloitte is where youll find unrivaled opportunities to succeed and realize your full potential. The Team Discover the various Financial Risk services, we offer to help organizations across the full life cycle of financial transaction. From governance and processes to technology and reporting, our services can enhance transparency, efficiency, compliance, and financial integrity. Work youll do! In our Analytics team youll build and nurture positive working relationships with teams and clients with the intention to exceed client expectations. Required skill set: Techno-Functional Must be able to assess whether the regulatory interpretations are in line with regulatory expectations and industry practice for LCR, PRA110 and NSFR. Must be able to verify whether regulations have been consistently applied in the systems logic to produce the liquidity regulatory reporting templates covering products such as repos, structured notes, derivatives, and collateral. Perform in-depth impact assessment of proposed changes on processes, data and systems and document in a clear and unambiguous manner. Participate in change activities which can include diverse tasks such as timeline planning, stakeholder engagement and implementing solutions. Ensure all requirements are aligned to strategic data models and operating model and all exceptions are duly recorded and ratified. Have prior experience in preparing Review and Recommend report that includes all the findings and recommendations. Ensure all requirements have suitable benefits associated with them and full traceability on ownership of requirement and success criteria for each requirement. Must have prior experience with Change management, UAT testing and detailed BRD review and verification. Must Have Skills: Evaluation whether the selected interpretations have been accurately reflected in the Business Requirements Documents (BRDs) and Functional Specifications (FS). Current or prior hands-on exp with preparation and monitoring of LCR and NSFR report ensuring compliance with regulatory requirements along with variance analysis. Analyze and interpret LCR data to identify potential liquidity risks & liaison with stakeholders including portfolio managers, Treasury, and other teams. Reviewing whether the system logic applied is consistent with the selected interpretations, BRDS, and FS. Good exposure end to end test management including Understanding requirement, UAT, Test case creation, Test execution, Defect management, Status reporting etc. Performing sample testing of the implementation of selected interpretations in the production of regulatory reporting templates. Good exposure to different testing methodologies. Core Business Analysis skills set Requirements Elicitation, Requirements Validation, Requirements Management Investigative mindset Interpretation, Analysis, evidence based critical thinking and problem-solving skillset. Provide Subject Matter expertise and guidance to implement and test regulatory changes & work with IT team to enhance, develop and maintain Liquidity calculation tools. Scope: LCR, PRA110, and NSFR Reg reporting preparation at Group and Bank Level entities Set of selected interpretations covering products such as repos, structured notes, derivatives, and collateral for LCR and NSFR. Set of trades covering LCR and PRA110, with furthermore trades covering NSFR Nice to Have: Background in Investment Banking or Consulting, with prior experience from change or BAU capacity. Working cross asset class, with a good understanding of financial products. Proven track record in working with stakeholders across the organization at the level of Global functional leads and working with them to prepare business cases and implementation roadmaps for approved programs and govern program implementation. Hands on experience of implementing and managing Agile ways of working for large complex global project teams. Hands on experience of daily/weekly/monthly LCR/NSFR reporting. Strong experience of Data analysis and understanding of data quality and governance concepts for the accounting functions of the bank. Excellent project documentation skills and good experience with project delivery and testing process. Your role as a leader At Deloitte India, we believe in the importance of leadership at all levels. We expect our people to embrace and live our purpose by challenging themselves to identify issues that are most important for our clients, our people, and for society and make an impact that matters. In addition to living our purpose, Consultant or Assistant Manager across our organization: Builds own understanding of our purpose and values; explores opportunities for impact. Demonstrates strong commitment to personal learning and development; acts as a brand ambassador to help attract top talent. Understands expectations and demonstrates personal accountability for keeping performance on track. Actively focuses on developing effective communication and relationship-building skills. Understands how their daily work contributes to the priorities of the team and the business. How youll grow At Deloitte, our professional development plan focuses on helping people at every level of their career to identify and use their strengths to do their best work every day. From entry-level employees to senior leaders, we believe theres always room to learn. We offer opportunities to help build world-class skills in addition to hands-on experience in the global, fast-changing. business world. From on-the-job learning experiences to formal development programs at Deloitte University, our professionals have a variety of opportunities to continue to grow throughout their career. Explore Deloitte University, The Leadership Centre. Benefits At Deloitte, we know that great people make a great organization. We value our people and offer employees a broad range of benefits. Learn more about what working at Deloitte can mean for you. Our purpose Deloitte is led by a purpose: To make an impact that matters . Every day, Deloitte people are making a real impact in the places they live and work. We pride ourselves on doing not only what is good for clients, but also what is good for our people and the communities in which we live and workalways striving to be an organization that is held up as a role model of quality, integrity, and positive change. Learn more about Deloitte's impact on the world Recruiter tips We want job seekers exploring opportunities at Deloitte to feel prepared and confident. To help you with your interview, we suggest that you do your research: know some background about the organization and the business area youre applying to. Check out recruiting tips from Deloitte professionals.

Join our Global Clearing Operations team, a dynamic group that covers a wide range of functions including Clearing, Reconciliations, Client Service, and Regulatory Reporting. Our Regulatory Reporting Team is a key player in managing reporting requirements in EMEA and NA, and implementing changes promoten by global regulatory requirements. We are at the forefront of protecting the business in todays market, using our knowledge of regulations to help our business and clients manage their obligations. We continuously enhance our controls environment and design our own solutions through digital automation platforms. As a Regulatory Reporting Analyst within our Global Clearing Operations, you will be responsible for managing all regulatory reporting requirements in EMEA and NA. You will partner with our business, technology, legal, compliance, and operational stakeholders to design an operational model that STPs from end to end. You will use your knowledge and understanding of varied regulations to help our business and clients manage the regulatory reporting obligations. You will also be responsible for designing and developing metrics and dashboards for senior management review of reported data and actively pursuing improvements to processes focusing on Controls, STP & KPIs. Job responsibilities Manage and supported to own the operational regulatory reporting obligations for the firm Oversee day to day management of exception processing and supervision of daily regulatory obligations Design and develop metrics and dashboards for senior management review of reported data Actively pursue improvements to processes focusing on Controls, STP & KPIs Identify process, system and interface impacts, operating model changes resulting from regulatory initiatives working in partnership with key stakeholders e.g. business, technology, compliance, risk and finance as required Proactively communicates identified gaps/priorities to key stakeholders Effectively translates business requirements into value-added, comprehensive solutions and test plans using appropriate processes, procedures, and technology Required qualifications, skills and capabilities Intellectually curious and asks right questions to navigate new challenges Product knowledge in Derivatives/Fixed Income and Equities spaces Exposure to Regulations like ESMA, CFTC, MIFID II Trade Reporting for listed derivatives Working experience with F&O and OTC Derivatives products Embraces the use of data and analytics tools to deliver regulatory reporting solutions Proficient in MS Excel and desktop skills Enthusiasm for digital automation tools such Alteryx

As a Basel Measurement Analyst in our Finance team, you will spend each day defining, refining and delivering set goals for our firm. You will be responsible for the calculation and reporting of Risk Weighted Assets (RWA) for FED regulatory reporting. The production team within BM&A manages the RWA calculation & reporting for different products like Derivatives, Wholesale & Retail etc as per Basel norms Job responsibilities Calculate, analyze, and report various components of Basel3 Risk weighted Assets (RWA) as part of FED regulatory reporting Prepare commentary for Standardized and Advanced RWA moves Coordinate with technology and line of business finance partners to complete the quarter end regulatory submissions Contribute towards Basel III End game RWA calculation and strategic implementation Support efforts to enhance internal reporting processes from both a sustainability and content perspective Assist with preparation of presentation materials and scorecards for various forums across Risk, Finance and Technology Assist in identifying, tracking, and resolving data quality issues; Work towards streamlining and improving processes Required qualifications, capabilities and skills Minimum 2 years of financial or regulatory reporting experience at a large financial institution CA/Master s degree in finance, Accounting, Risk or related field. Proficiency in MS Office product suite (Excel, Word, Access, and PowerPoint) required Exposure to financial products like securities and derivatives. Preferred qualifications, capabilities and skills Experience in Basel3 regulatory capital rules is preferred and Exposure to Basel III end game is a plus

Payoneer s mission is to enable businesses of all sizes from anywhere in the world to access the rising, global economy by enabling them to transact globally as easily as they do locally. Life at Payoneer is a global community, where you ll work with colleagues all over the world, serving small- and medium-sized business customers and partners in over 190 markets. We are looking for: Payoneer is looking for a Principal Nodal Officer to join our extremely fast-growing global Fintech business. The ideal candidate will be comfortable in a fast-paced, multi-tasking and high energy environment. Location Bangalore, India What you will be spending your time on: Oversee and ensure that an effective customer grievance resolution mechanism is in place in accordance with relevant regulations and laws, and provide day to day support on decision making in complaints which are complicated in nature. Serve as the final escalation point for unresolved complaints to ensure fair and timely resolution and be the appointed Nodal Officer. Develop and implement a comprehensive compliance program to meet non-AML regulatory requirements issued by RBI and other relevant authorities, including but not limited to validating policies around outsourcing and complaints handling. Maintain oversight of non-AML compliance requirements specific to India-licensed Payment Aggregators and Payment Collection Banks (PA-CBs), including outsourcing arrangements. Work with APAC Regulatory Counsel to monitor updates to non-AML regulations and work with the relevant departments to identify gaps, provide actionable recommendations and implement measures to ensure continued compliance. Work closely with internal teams to build our processes to support ERM, outsourcing compliance, consumer complaints and regulatory reporting. Coordinate and ensure timely submissions of reports/data/filings for RBI and other regulators and to ensure correctness of the reports submitted. Identify regulatory challenges and changes relating to payment services products to ensure these are addressed and implemented in a timely manner. Liaise with key internal (e.g. Legal, Risk, MLRO etc) and external (e.g. Regulators, advisors, vendors, partners etc) stakeholders as required. Serve as the main point of contact for the RBI and other regulators for non-AML matters. For this role you will need: Bachelors degree with relevant work experience (e.g. appointment as the Nodal Officer of other payment companies) 8-10 years of financial experience in complaints handling and regulatory compliance, preferably with a strong understanding of RBI regulations and financial services compliance in India Strong negotiation skills Strong professional presence to support regular interactions with senior management Able to work in a fast-paced, deadline-driven environment Excellent interpersonal, verbal, and communication (including presentations) skills Proficient computer skills, especially Microsoft Office applications Experience in dealing with India-based regulatory bodies Excellent organizational and communication skills to effectively liaise with regulators and internal stakeholders Ability to monitor and interpret regulatory changes and implement appropriate compliance measures Who we are: Payoneer (NASDAQ: PAYO) is the world s go-to partner for digital commerce, everywhere. From borderless payments to boundless growth, Payoneer promises any business, in any market, the technology, connections and confidence to participate and flourish in the new global economy. Powering growth for customers ranging from aspiring entrepreneurs in emerging markets to the world s leading brands, Payoneer offers a universe of opportunities, open to you. #LI-PS1

Job Title: Regulatory Cross Product Operational Control, Process and Governance Lead Corporate Title: VP Role Description The Regulatory Reporting Process and Control Oversight (PCO) team is responsible for independently assessing regulatory reporting operational controls and implementing changes to approach and culture. This includes evaluating global team procedures, managing the control framework, coordinating leadership risk self-assessments, and executing assurance on processes and controls. You will contribute to transformation activities, including process optimization and regulatory/control change enablement. Additionally, you will help develop a communication construct and governance framework within global regulatory operations. As part of the global regulatory operations management team, you will lead one or more projects for cross-jurisdictional improvement, spearhead the control culture change agenda, and develop a risk culture construct across global regulatory operations. Your key responsibilities Manage the PCO (Process Control & Oversight) governance function and staff, reporting directly to global PCO operations lead. This includes execution of assessment, framework, and testing cycles. Provide oversight to Regulatory Operations controls topics to ensure that processes are in line with all internal and external policies and regulatory requirements utilising cross process knowledge of other functional and product areas Partner with regional & global internal functions and leads to both develop a control mindset/culture, create PCO capability in all locations, and implement control methodology and training to deliver sustainable process and performance improvement Foster succession planning and develop team members to reach optimum performance as well as career progression Develop and implement mitigation or control solutions and drive standardisation of platforms, processes, inventories and regulatory reporting governance. Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance and audit matters. Your skills and experience Background in operational control required Prior knowledge and experience obtained from financial services with exposure in different investment banking products like FX, fixed income and derivatives Strong understanding of risk & control and regulatory reporting landscape across Europe with global exposure preferred Project Management / Risk experience and paired with excellent analytical skill to ensuring strong governance across various locations and products considering implemented risk management models Some leadership skills with the ability to motivate, develop and lead by example to drive optimum performance Ability to influence and provide balanced view to key stakeholders, business & compliance counterparts on programs, initiatives, and decisions

We are seeking an experienced Axiom Developer to design, develop, and implement Axiom solutions that streamline financial reporting processes and ensure regulatory compliance. The ideal candidate will collaborate closely with finance and regulatory teams, configure Axiom modules, and maintain data integrity while delivering high-quality technical solutions. Key Responsibilities : Design, develop, and implement Axiom solutions to automate financial reporting processes and ensure compliance with regulatory standards. Collaborate with finance and regulatory teams to gather requirements and translate them into technical solutions within the Axiom platform. Configure and customize Axiom modules, including data mapping, validation rules, and report generation, to meet business needs. Perform data analysis and reconciliation to ensure the accuracy and integrity of financial data in Axiom. Troubleshoot and resolve issues related to Axiom functionality, data integration, and reporting discrepancies. Develop and maintain comprehensive documentation, including technical specifications, user guides, and process workflows. Provide training and ongoing support to end users to enhance their proficiency with the Axiom platform. Stay updated on industry trends, best practices, and Axiom software updates related to financial reporting and regulatory compliance. Key Skills : Proven experience in designing and implementing Axiom solutions for financial reporting. Strong understanding of financial processes, regulatory compliance, and reporting requirements. Hands-on expertise in configuring Axiom modules (data mapping, validation, report generation). Proficiency in data analysis, reconciliation, and troubleshooting within the Axiom platform. Excellent documentation and communication skills. Ability to collaborate effectively with cross-functional teams.

Responsibilities Lead the design, implementation, and execution of regulatory reporting processes for EMIR and MIFID (Transaction Reporting and Post-Trade Transparency). Take charge of end-to-end delivery for projects, including the MIFID PTT TR Re-write, ensuring compliance with all regulatory standards and guidelines. Collaborate closely with stakeholders across various departments (Legal, Compliance, Operations, IT) to ensure that the regulatory reporting infrastructure meets business and regulatory requirements. Develop and deliver detailed Business Requirements Documents (BRD) for projects, ensuring clear communication of requirements and objectives. Provide expertise and strategic advice on EMIR and MIFID regulations, offering support in addressing complex reporting and compliance issues. Oversee and manage testing phases, ensuring robust UAT and regulatory compliance testing procedures. Support the regulatory reporting team in ensuring that all systems and processes are aligned with the latest regulatory changes and updates. Conduct impact assessments and gap analyses of regulatory changes and implement necessary changes to internal systems and processes. Act as the subject matter expert (SME) for EMIR and MIFID regulatory reporting, leading cross-functional workshops, training sessions, and knowledge sharing initiatives. Skills Must have At Least 2-3 years of expertise in EMIR and MIFID regulations, particularly in Transaction Reporting (TR) and Post-Trade Transparency (PTT) : Proven experience managing or leading regulatory reporting assurance projects, with a focus on MIFID and EMIR regulations. Demonstrated ability to create BRDs, lead consultation phases, and manage end-to-end project implementations. Excellent communication and stakeholder management skills, able to liaise effectively with senior management, regulators, IT teams, and other business units. Strong understanding of the full regulatory reporting lifecycle, including data sourcing, validation, and submission to Trade Repositories and Regulators. Experience with regulatory reporting platforms (e.g., approved Trade Repositories, reporting tools, etc.) and an understanding of system integration for reporting purposes. Experience working with regulatory authorities and managing compliance obligations in relation to EMIR and MIFID. A proactive, self-starter with strong problem-solving skills and the ability to drive projects forward. Experience in project management, with the ability to handle multiple workstreams and deadlines simultaneously. Knowledge of regulatory change management and the ability to adapt to ongoing changes in the regulatory landscape. Experience with Regulatory Reporting Platforms (e.g., Unavista, DTCC, or other trade repositories). Nice to have Familiarity with Data Privacy and Security regulations related to financial services. A strong background in testing methodologies, specifically UAT in a regulatory context. Project management certifications (e.g., PMP, Prince2) would be a plus.

Responsibilities Lead the design, implementation, and execution of regulatory reporting processes for EMIR and MIFID (Transaction Reporting and Post-Trade Transparency). Take charge of end-to-end delivery for projects, including the MIFID PTT TR Re-write, ensuring compliance with all regulatory standards and guidelines. Collaborate closely with stakeholders across various departments (Legal, Compliance, Operations, IT) to ensure that the regulatory reporting infrastructure meets business and regulatory requirements. Develop and deliver detailed Business Requirements Documents (BRD) for projects, ensuring clear communication of requirements and objectives. Provide expertise and strategic advice on EMIR and MIFID regulations, offering support in addressing complex reporting and compliance issues. Oversee and manage testing phases, ensuring robust UAT and regulatory compliance testing procedures. Support the regulatory reporting team in ensuring that all systems and processes are aligned with the latest regulatory changes and updates. Conduct impact assessments and gap analyses of regulatory changes and implement necessary changes to internal systems and processes. Act as the subject matter expert (SME) for EMIR and MIFID regulatory reporting, leading cross-functional workshops, training sessions, and knowledge sharing initiatives. Skills Must have At Least 2-3 years of expertise in EMIR and MIFID regulations, particularly in Transaction Reporting (TR) and Post-Trade Transparency (PTT) : Proven experience managing or leading regulatory reporting assurance projects, with a focus on MIFID and EMIR regulations. Demonstrated ability to create BRDs, lead consultation phases, and manage end-to-end project implementations. Excellent communication and stakeholder management skills, able to liaise effectively with senior management, regulators, IT teams, and other business units. Strong understanding of the full regulatory reporting lifecycle, including data sourcing, validation, and submission to Trade Repositories and Regulators. Experience with regulatory reporting platforms (e.g., approved Trade Repositories, reporting tools, etc.) and an understanding of system integration for reporting purposes. Experience working with regulatory authorities and managing compliance obligations in relation to EMIR and MIFID. A proactive, self-starter with strong problem-solving skills and the ability to drive projects forward. Experience in project management, with the ability to handle multiple workstreams and deadlines simultaneously. Knowledge of regulatory change management and the ability to adapt to ongoing changes in the regulatory landscape. Experience with Regulatory Reporting Platforms (e.g., Unavista, DTCC, or other trade repositories). Nice to have Familiarity with Data Privacy and Security regulations related to financial services. A strong background in testing methodologies, specifically UAT in a regulatory context. Project management certifications (e.g., PMP, Prince2) would be a plus.

As a Senior Implementation Specialist, your focus will be co-leading and implementing CV10 projects for Nasdaq AxiomSL clients globally. Besides working closely with your colleagues in Mumbai, India, you will also work closely with Nasdaq teams in other countries. Key responsibilities include: Managing project scope, timelines, budget and delivery as per agreed upon project plan and SOW Conducting client discovery workshops, crafting and configuring solutions within project parameters Collaborating with Nasdaq and client stakeholders, Solution Architects, Subject Matter Experts, to analyze and understand client data and implement the best possible solutions for the clients Delivering end-user training for platform or solution related trainings Providing regulatory reporting expertise and staying current with regulatory developments Following SDLC best practices, maintaining detailed documentation Sharing knowledge with Nasdaq and client teams as applicable Supporting and advising sales with technical expertise for future potential project proposals. The ideal candidate combines technical implementation skills with regulatory knowledge and client-facing capabilities. We expect you to have: (Minimum Qualifications) 8+ years of Proven track record working on delivering regulatory reporting solutions with 6+ years working on Axiom. Familiarity of Financial Statements, General Ledger, Accounting related to regulatory reporting Excellent SQL skills and experience using SQL query tools Experience with Axiom CV v9/10 Experience and a strong curiosity about software implementation and process management is required Is service focused and can get along with client personnel at any level, from technical staff to executive leadership. Ability to travel to client locations or other Nasdaq offices, or stay at certain locations during implementation (typically 3 to 9 months). Education Qualification : Bachelors/Master s degree in computer science, Business / Finance or related discipline, or equivalent work experience.

Whats in it for you: Global Nature of the Role : Collaborate with diverse teams across multiple regions to resolve client queries, gaining global insights and understanding of derivative markets, regulations, and practices. Impactful Contribution : Play a key role in providing excellent customer experience that directly influence business outcomes and shape the future direction of the product. Exposure to Industry Experts : Work closely with industry experts, decision-makers, and thought leaders, offering a unique opportunity to build valuable product. Responsibilities: Addressing customer inquiries and requests promptly and efficiently, ensuring resolution within specified timelines. Assisting clients in comprehending the functionality of the solution and resolving reporting challenges. Collaborating with product, application support and development teams to identify and rectify bugs and issues, and testing implemented fixes. Timely escalation of issues and ensuring proper follow-up until resolution. Supporting validation or User Acceptance Testing (UAT) for issue resolution. Contributing to client-specific projects as required. Conducting Root Cause Analysis to identify the source of data inconsistencies. Troubleshooting client inquiries and issues by reviewing data in various formats such as Excel files, JSON, XML, FPML messages, and comparing them against mapping sheets, technical specifications, and business requirements to resolve issues or identify system bugs. What Were Looking For: Possession of a bachelors or masters degree in business administration, technology, or a related field. Completion of any financial certifications such as FRM or CFA would be a plus. Proficiency in Excel, SQL, and understanding of an API at an intermediate level. Demonstrated experience of 7 to 10 years in financial markets or fintech. Understanding of the trade lifecycle across major financial asset classes including securities finance, exchange-traded, and OTC derivatives. Familiarity with financial markets and Regulatory Reporting Regimes (SFTR/MiFID/EMIR/ASIC/MAS/CFTC). Ability to comprehend technical concepts. Competence in querying and extracting data from databases. Knowledge of other vendor systems like ANNA, Reuters etc. is advantageous.

Role & responsibilities - Work as senior on multiple workstreams or clients as a part of Regulatory Reporting BAU/Production team. Interact with stakeholders (client and other third parties such as fund administrators) on matters related to data and production. Facilitate and encourage the necessary conversations between the Business and Technology to determine the what and the how of the product features. Prepare and review the workpapers needed for filing the forms/reports with 100% accuracy. Work independently with minimum supervision. Provide technical guidance to the team as well as client as needed. The role is deadline oriented and may require working under US time schedule. Be involved in project management as needed. Mentor, train and inspire staffs to meet the project objectives. Proactively develop and impart training on new onboarded or upcoming initiatives for team members. Work with Technology and US team in identifying process improvement areas and bring in the culture of automation. Preferred candidate profile - Clear communication skills, both written and verbal 4 8 years of experience with at least 2 - 3 years of senior experience in BCM or WAM industry, Exposure to US based asset management or fund administration firm will be an addon. Master’s degree in accounting or finance mandatory. MBA or CA will be good to have. Experience with Regulatory Reporting, Validations, Reconciliations, General Adjustment processes would be a plus. General understanding of US GAAP, mutual fund regulatory is a plus. Should be versatile and have a good understanding of working with Technology platforms/frameworks/tools. Actively participate in the selection of new regulatory tools/frameworks and methodologies. Recommend and assist in its implementation. Fair understanding of Technology/Framework and Data systems across the WAM sector. Functional knowledge: Good knowledge and understanding of WAM domain and deep knowledge of capital market OTC derivative products (Equity, Commodities, Currencies, Rates, Cash and Credit). Knowing Risk function deliverables like Key Risks & Controls and the testing thereof. Thorough understanding of different product taxonomies in Regulatory Reporting. Understanding BRD would be an added advantage. Experience with 1 or more relevant Regulatory Reporting platform. Exposure to Python or R tool-based analytics. The candidate must be a highly motivated individual who can handle all levels of complexity in the respective area of operation. Should pay attention to detail, proficient in MS applications (Word, Excel, Power Point), excellent analytical skills and must display effective interaction capabilities with various stakeholders. The applicant must be comfortable functioning in a fast-paced environment driven by deadlines. Fair knowledge of Capital market instruments. US Visa ready is preferred

Conduct compliance risk assessment. Be the SPOC on all compliance matters to all verticals. Oversee risk-based compliance. Manage regulatory/statutory/Fair practice code compliance. In charge for ensuring all RBI compliances Required Candidate profile Qualified CS with 8+ years' exp in handling RBI compliances with Banks or NBFCs. Expert in communication with regulatory authorities incl RBI Job location will be Kochi, Kerala

Skill required: Record To Report - Accounting & Financial Reporting Standards Designation: Record to Report Ops Associate Qualifications: MCom Years of Experience: 1 to 3 years What would you do? You will be aligned with our Finance Operations vertical and will be helping us in determining financial outcomes by collecting operational data/reports, whilst conducting analysis and reconciling transactions.Posting journal entries, preparing balance sheet reconciliations, reviewing entries and reconciliations, preparing cash forecasting statement, supporting month end closing, preparing reports and supports in audits.The Financial Tracking and Reporting team focuses on providing the financial controls and reporting in order to effectively manage CFM activities. This includes providing project-level cost and expense reporting, invoice generation and tracking, project financial tracking, reporting and analytics. The role requires a good understanding of general ledger, balance sheet, statutory reporting, client reporting, fund reporting, Financial Planning & Analysis (FPNA), budgeting and forecasting. What are we looking for? Skill required:Record to Report - Financial Consolidation & Close Operations Designation:Record to Report Ops Analyst Qualifications:BCom, CA Inter Chartered Accountant Years of Experience:3 - 5 Years Problem-solving skills Ability to establish strong client relationship Agility for quick learning Results orientation Regulatory Experience is a mustStrong knowledge of IFRS, US GAAP, and regulatory reporting frameworks.Experience with ERP and financial reporting systems (SAP, Oracle, Hyperion).Advanced proficiency in Excel and financial data analysis.Strong analytical, problem-solving, and attention-to-detail skills.Ability to manage multiple priorities in a fast-paced environment.Excellent communication and stakeholder management abilities. Roles and Responsibilities: You will be aligned with our Finance Operations vertical and will be helping us in determining financial outcomes by collecting operational data/reports, whilst conducting analysis and reconciling transactions. Posting journal entries, preparing balance sheet reconciliations, reviewing entries and reconciliations, preparing cash forecasting statement, supporting month end closing, preparing report s and supports in audits. The Financial Consolidation & Close Operations team is responsible for general ledger processses including yearend closing, journalizing, etc. Help create & maintain ledgers, currencies, budgets, & journal entries, deliver solutions including a flexible accounting structure, comprehensive journal processing, hierarchical summaries, intuitive inquiry & reporting, dynamic allocations & the management of commitments & expenditures, run interface reports & perform close books of accounts. Reviews P&L accounts errors, omissions, or inconsistencies and managing the preparation of all reports. Posting journal entries, preparing balance sheet reconciliations, investigating and reporting open items, reviewing entries and reconciliation s, supporting month[1]end closing, preparing various reports as required, and supporting audits. The team also over sees improvement projects, including automation, simplifications, and enhanced controls Qualifications MCom

You Lead the Way. We ve Got Your Back. With the right backing, people and businesses have the power to progress in incredible ways. When you join Team Amex, you become part of a global and diverse community of colleagues with an unwavering commitment to back our customers, communities, and each other. Here, you will learn and grow as we help you create a career journey that is unique and meaningful to you with benefits, programs, and flexibility that support you personally and professionally. At American Express, you will be recognized for your contributions, leadership, and impact every colleague has the opportunity to share in the company s success. Together, we ll win as a team, striving to uphold our company values and powerful backing promise to provide the world s best customer experience every day. And we will do it with the utmost integrity, and in an environment where everyone is seen, heard and feels like they belong. Join Team Amex and lets lead the way together. Function Description The Regulatory Reporting team delivers Bank Holding Company regulatory reports in accordance with Federal Reserve requirements for American Express Company and its subsidiaries. We perform independent processes to prepare, review and analyze financial information with a key focus on control and compliance and addressing new Federal Reserve requirements, including new reports. We work extensively with our own market financial controllers, subject matter experts, General Counsel s Office, treasury, technology partners, and external regulators. The team is committed to talent development, work / life balance, and timely recognition of team members. This role may be subject to additional background verification checks. Purpose of the Role These quarterly/monthly filings report certain financial and non-financial information in accordance with the applicable Federal Reserve and other authoritative guidance at both the Consolidated American Express Co. and at the subsidiary legal entity levels. Visit http://www. federalreserve. gov/reportforms/default. com for more information on these filings. Responsibilities This position will be a part of the Financial Reporting Cluster. It will primarily support the External Reporting function and will be part of Regulatory Reporting team. The job would entail the following activities: Participate in Project Fast Forward, Bank Category Change Readiness from Category IV to Category III/II bank. Engage with multiple stakeholders to understanding/interpret and implement bank category changes Coordinate in implementing the change on automated platform R2CE (Regulatory Reporting Calculation Engine) Participate in senior leadership progress updates Preparation of Bank Holding Company regulatory filings pertaining to Liquidity reporting (FR2052a) to the United States Federal Reserve Bank of New York (Federal Reserve) and other regulators and support the Liquidity reporting process overall The incumbent will have the opportunity to gain a rewarding experience in the highly visible and critical area of regulatory reporting for American Express. The individual will be exposed to American Express systems & processes and will work with several internal & external groups outside of Controllership/Finance (including senior leaders of the Company) during the course of these filings. This is a unique opportunity to lead end to end preparation and filing of the FRB reports for the company. Ensuring report compliance with Federal Reserve and other regulatory reporting requirements, the Company s internal review procedures and all other applicable policies and procedures. Supporting projects to transform the preparation of regulatory reports, including automation and simplification. Supporting the Managers and Director in responding to inquiries of (i) Federal Reserve; (ii) GCO; and (iii) other regulatory related inquiries. Supporting the Managers and Director in implementation of analytical and reporting processes, procedures and systems using the Company s control framework. This role may be subject to additional background verification checks. Shift timings- 11AM to 7:30PM Critical Factors to Success Treasury function s accounting understanding, and systems knowledge. Experience of interpreting and documenting Liquidity Reporting Management (LRM) rules and FED instructions AXP s treasury operations and process flow knowledge Should have problem solving, planning and analytical skills to facilitate and focus on continuous improvement and innovation. Project management skills and experience will be distinct advantage. Should have strong results orientation, project management, collaboration, and co-ordination abilities. Should be self driven, self-motivated and have eye for detail. Follow the established controls and checks to ensure integrity of the information collected including documenting process/entity specific knowledge. Collaborate with multiple partners across Controllership, Business Unit and other organizations to source information and deliver on customer expectations. Put enterprise thinking first, connect the role s agenda to enterprise priorities and balance the needs of customers, partners, colleagues & shareholders. Lead with an external perspective, challenge status quo and bring continuous innovation to our existing offerings. Demonstrate learning agility, make decisions quickly and with the highest level of integrity Lead with a digital mindset and deliver the world s best customer experiences every day Past Experience US Regulatory Reporting/External Reporting experience Exposure in Liquidity reporting, NSFR or LCR and other Treasury functions will be preferred US GAAP knowledge & experience Academic Background At least 3+ years experience in Accounting/Reporting Chartered Accountant/CPA preferred Prior experience with Liquidity reporting, LCR/NSFR is a plus. Functional Skills/Capabilities: Must have good communication and interpersonal skills and be able to interact independently with senior business partners / customers etc. Reporting and analysis experience, familiarity with US GAAP and financial accounting experience Self-driven, team player, have analytical skills and inclination for process improvement. For an internal candidate, knowledge of company policies, businesses, finance processes and systems is desirable Understanding of financial domain and AXP systems Technical Skills Able to understand and enhance the control environment around the filings. Strong analytical and problem-solving skills. Quick learner. Must be proficient in MS Applications such as Excel, PowerPoint, and Word. The incumbent should be tenured for a minimum of 18 months at Band 30 as on the date of application deadline. The incumbent should have a performance rating of G2L2 or better in the last review Good analytical skills and inclination of process improvement. Knowledge of Platforms Oracle, Essbase, R2CE architecture Benefits include: Competitive base salaries Bonus incentives Support for financial-well-being and retirement Comprehensive medical, dental, vision, life insurance, and disability benefits (depending on location) Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need Generous paid parental leave policies (depending on your location) Free access to global on-site wellness centers staffed with nurses and doctors (depending on location) Free and confidential counseling support through our Healthy Minds program Career development and training opportunities Offer of employment with American Express is conditioned upon the successful completion of a background verification check, subject to applicable laws and regulations.

Role: Liquidity Tech BA Experience: 2-8 years Location: Bangalore Chennai Skills: Mandatory: Advance SQL skills Analytical skills Desirable: Work collaboratively with Country Finance, Treasury, Group Liquidity Regulatory reporting and BAU teams to understand requirements and articulate them within the Business and data requirements document. Actively engage with stakeholders (business and technology partners) to deliver appropriate solutions as per planned timelines. To centrally coordinate system interfaces/dependencies/change releases for the Treasury and Liquidity Reporting work streams and ensure alignment across all centers. To be accountable for ensuring that detailed requirements are documented in BRDs, and FRD are duly signed off by relevant stakeholders. To ensure that the new solutions comply with internal procedures / external regulatory guidelines and project deliverables are properly understood by business stakeholders, project team, and end-users. Interpret data, analyze results using statistical techniques and provide ongoing reports. Develop and implement databases, data collection systems, data analytics and other strategies that optimize statistical efficiency and quality. Identify, analyze, and interpret trends or patterns in complex data sets. Work with management to prioritize business and information needs. Mandatory skill sets: Liquidity, Advance SQL (Mandatory), and BA skills Preferred skill sets: Change management, Techno Functional Business analyst

Handling regulatory compliance of BSE, NSE and SEBI regulations for Comfort Securities Limited and Comfort Commotrade Limited. Submission of Internal audit and Concurrent, and advise the company regarding compliance audit report to CDSL. Updating of Dealers NISM certificate before expiry in All Exchanges. Gathering and analyzing data, performing computations, and preparing work. Researched, interpreted with laws and regulations. Handling Inspection of SEBI, Exchanges, and Depositories and drafting compliance report. Registration and cancellation of Authorized person in NSE, BSE and MCX and providing letters for approval of registration and cancellation of Authorized person once registered or cancel with exchange. Provide data to exchange as and when required. Maintained and reviewed all contracts and agreements to ensure all policies and procedures were fully followed. Review of various policies of the organization. Organize and facilitate monthly, Quarterly, Yearly compliance review board meeting, attended by Chief Executive Officer, Chief Financial Officer, and executive of company. Directly reported to the Chief Executive officer to ensure company objective are meet and executed goals. Co ordinating and follow up with exchange regarding quires. Ensure regulatory compliance with Companies Act, 2013 for Comfort Securities Limited and Comfort Commotrade Limited. Taking vendor approval from Exchanges. Submission or registration of any other membership related activities. Replies to Letter of observation and Drafting compliance report of Concurrent audit report. Closing alerts of Exchanges as well as CDSL. Daily Sending and implementing circulars of SEBI, Exchanges, Depositories. Making representation to Regulators. Making submissions of various regulatory reporting to Regulators. Handling Inspection/Internal Audits/System Audit/Cyber audit. Research regulations related compliance. Handling Sebi/Exchange investigations. Replying to Surveillance related mails from Regulators. Reply to Observation letters/show cause notices. Handling Stock Exchanges compliance. Drafting Appeals.

Job Description: Data Modelling, Credit Risk Management, IFRS9 Reporting, Basel 3 Regulatory Reporting, Experience in Finance, IFRS9, Credit Risk, Basel 3 Regulatory Reporting Execution & delivery, Business Transformation projects for regulatory changes. Knowledge of regulatory rules related to RWA, Liquidity & Financial Reporting, Strong MS Office skills Excel, SQL, If Intrested Please share your updated CV and fill the below details and share it to nancy.sylvia@capco.com Kindly fill the below details: Name: Contact Num: Current Company: Overall experience: Relevant experience: Current CTC: Expected CTC: Current Location: Preferred Location: Tentative DOJ (Capco): Notice period: If serving mention, the Last working Date(LWD) : Holding any offers: Yes / No (Highlight and mention if holding any offers) –

Compliance Manager (Lending Business) Job Overview: The Compliance Manager in a lending business in India is responsible for overseeing and ensuring that the companys lending activities comply with all applicable Indian laws, regulations, and internal policies. This role involves implementing and managing compliance programs, conducting risk assessments, ensuring adherence to financial regulations, and liaising with regulatory bodies such as the Reserve Bank of India (RBI), and other relevant authorities. The Compliance Manager ensures that the organization adheres to legal standards while mitigating regulatory risks in the lending business. Key Responsibilities: Regulatory Compliance Monitoring: Regulatory Adherence: Ensure that the organization s lending practices comply with all applicable Indian regulations, including guidelines issued by the Reserve Bank of India (RBI) , Fair Practices Code , Prevention of Money Laundering Act (PMLA) , KFS and Consumer Protection Act . Regulatory Updates: Stay updated with changes in regulations affecting the lending business in India, including any updates from RBI, or other regulatory bodies, and ensure timely implementation of necessary adjustments in the company s processes. Policy Development Implementation: Internal Policies: Develop, implement, and continuously update internal compliance policies and procedures in line with legal requirements and best practices. This includes ensuring the company adheres to the RBIs Fair Practices Code , internal lending policies, and other regulatory guidelines. Policy Training: Conduct training sessions for staff on internal policies, compliance obligations, and new regulatory developments to ensure proper understanding and adherence. Risk Management: Risk Identification: Identify potential compliance risks within the lending operations, including loan origination, disbursement, recovery, and collections. Conduct risk assessments and propose strategies to mitigate these risks. Internal Audits: Oversee and conduct regular internal audits of lending activities, ensuring that compliance is maintained across all stages of the loan lifecycle, from application to recovery. Regulatory Reporting Filing: Timely Reporting: Ensure compliance with mandatory regulatory reporting requirements. This includes filing periodic reports with RBI, SEBI, and other authorities, such as NPA (Non-Performing Assets) reporting, Annual Compliance Reports , KYC (Know Your Customer) guidelines , and AML (Anti-Money Laundering) obligations . Statutory Filings: Ensure timely submission of all statutory filings to RBI and other relevant regulators and maintain all required records in accordance with regulatory norms. Compliance Investigations Issue Resolution: Compliance Monitoring: Conduct regular reviews to identify instances of non-compliance and provide guidance on corrective actions. Investigate any alleged violations of company policies or regulatory requirements, including fraud, money laundering, or violation of KYC norms. Remedial Actions: Implement corrective actions in response to compliance issues or breaches, collaborating with legal and management teams as necessary to resolve complex issues. Third-Party Vendor Compliance: Vendor Oversight: Ensure third-party service providers, such as credit bureaus, loan servicing companies, and collection agencies, comply with all applicable regulations and internal compliance requirements. Conduct periodic assessments and reviews of third-party vendors. Compliance Reporting Advisory: Management Reporting: Prepare regular reports for senior management, detailing the status of compliance, key risk areas, regulatory changes, and corrective actions taken. Provide advisory on compliance-related matters to senior leadership and stakeholders. Regulatory Liaison: Serve as the primary point of contact for regulatory authorities, addressing any inquiries or issues raised by regulators, such as RBI, or other government bodies. Qualifications: Education: A Bachelor s degree in law, finance, business administration, or a related field is required. A Master s degree or professional certification in compliance (e.g., Certified Regulatory Compliance Manager (CRCM) , Certified Compliance and Ethics Professional (CCEP) ) is a plus. Experience: Minimum of 5 years of experience in compliance or risk management, preferably in the financial services, banking, or lending industry in India. In-depth knowledge of Indian regulatory frameworks, including RBI regulations, PMLA, Fair Practices Code , and consumer protection laws. Familiarity with compliance and regulatory reporting systems used in the financial sector in India. Skills Abilities: Strong knowledge of Indian financial regulations, especially in the lending space (personal loans, home loans, MSME loans, etc.). Ability to analyze complex regulations and translate them into actionable internal policies. Excellent verbal and written communication skills for interacting with regulatory authorities, senior management, and other stakeholders. Strong problem-solving skills and the ability to manage multiple compliance issues simultaneously. Proficiency in compliance software, regulatory reporting tools, and Microsoft Office. Ability to lead, train, and collaborate with various teams within the organization. Certifications (Preferred): Certified Regulatory Compliance Manager (CRCM) Certified Compliance and Ethics Professional (CCEP) Other relevant certifications in Indian financial regulations or lending business practices.

Perform accounting and reporting for legal entities in the EMEA region (excluding the UK) on a monthly basis in accordance with US GAAP. Assume end-to-end ownership of month-end close activities, including FX trade out, capital hedge, and EPU. Liaise with auditors and support Legal Entity Controllers during control audits. Conduct quarterly regulatory reporting as per local GAAP for EMEA entities, including liquidity reporting and VAT returns. Support the senior management team in the decision-making process by analyzing financial performance. Maintain and develop relationships with onshore partners and business stakeholders. Implement internal control policies and procedures to mitigate financial and business risks. Monitor and control daily activities involving reconciliations. Maintain centralized financial reference data for the EMEA region. Participate in User Acceptance Testing (UAT) for various ongoing projects and system implementations. Engage team members and build effective working relationships within the team. Required qualifications, capabilities, and skills Strong interpersonal and team working skills A self-starter, motivated and able to work with minimal supervision Demonstrate strong analytical and problem solving skills Flexibility to work under pressure to meet changing work requirements and strict deadlines Ability to communicate effectively both verbally and written - at all levels Attention to detail Chartered Accountant with minimum 1 year of experience (will vary depend on level) Strong accounting knowledge with experience in Book closure and finalizing accounts Ability to multi-task under considerable time pressure, whilst maintaining a high degree of accuracy and quality. Good Communication and organizational skills including partnering skills and pro-activeness. Strong PC skills including MS Excel, MS Word, MS Access and Outlook Preferred qualifications, capabilities, and skills preferably with financial services industry.

Dear Candidate,We are looking for CA freshers (Batch May2024 Nov2024) who have cleared CA finals in total 4 attempts.Please find below JD for the Compliance role -Purpose / key objective of role The role requires the employee to execute the tasks allotted by the reporting manager(s), in relation to the following compliance areasRegulatory updates and implementation- Review regulatory updates and regular tracking and implementation of any regulatory requirements and any other compliance matters.Advisory role with respect to processes- Providing advisories to stakeholder on various regulatory aspects. Engage with partners and stakeholders to enable compliance related onboarding and servicing processes.Agreement review- Review intermediary and service partner agreements.Regulatory Monitoring and reporting- Ensuring monitoring and risk mitigation along with timely analysis and regulatory reporting. Relook at existing processes and evaluate/implement automation to reduce people dependency and errors. Ensure record keeping of Compliance departmental records in line with regulatory requirements Regulatory engagement- Engaging with regulators through representations, draft responses and notes on various compliance matters Management engagement- Engaging with management on certain requirements and escalations, preparing presentations etc IRDAI correspondence management, SOX compliance and other projects- Recording the to and fro correspondence with IRDAI, ensuring compliance to SOX and other projects as identified from time to time

Role & responsibilities Provide oversight of accuracy and completeness of trade reporting where delegated to trading counterparties and work closely with them to resolve discrepancies Perform verification, validations and testing of trade data prior to submission to regulators Effectively contribute towards the exercise of the Asset Management business post trade and transaction reporting obligations Responsible for identifying trade reporting exceptions and issues and recommending remediation solutions Actively work with trading desks to understand changes in business practice and make recommendations on how the team and supporting infrastructure should evolve to consistently meet reporting obligations