908 Regulatory Reporting Jobs - Page 27

OakNorth Bank (the Bank ) is a new fast-growing bank in the UK. While the balance sheet is less complex than larger banks, the Bank, as a CRDV firm, is subject to full suite of regulatory returns as follows: o COREP o FINREP o PRA/FSA and FCA returns o BOE returns We are also planning to implement a new end to end regulatory reporting system for all our regulatory reporting requirements. The Vendor has been finalised and the implementation is expected to start from June 23. We are looking for a candidate who can also drive this project and fulfil the key responsibilities required for the role. Therefore, learning all the regulatory returns across capital, liquidity and leverage is the key opportunity in this role. The Regulatory reporting team is also responsible for daily liquidity reporting, ALCO reporting and IRRBB reporting to support Treasury balance sheet management activities. The Bank s products are diversified, and a number of new product launches continue- the candidate will be driven to research regulatory impact and provide inputs into new product development. We are a small team and therefore the role offers opportunity - o to closely work with individuals across all levels, teams and locations and to build the team as the Bank grows. o build experience in a number of regulatory areas such as liquidity, credit, interest rate risk, treasury and other balance sheet reporting o learn a lot about new products - as the Bank is working on a number of initiatives for the growth phase o be involved in a number of cross functional projects. Job Responsibilities: Producing Liquidity and credit and banking exposure reports: Monthly /Quarterly Liquidity returns - NSFR, LCR, ALMM, PRA110 with reconciliation with Financials. Balance sheet driven returns: FINREP, PRA108, BOE statistical returns - (BT, ELS, GT, AD, AL, BE, CC, PL) Additional exposures related returns: FSA015, PRA loan book data, Asset encumbrance, Mortgages returns (MLAR) Capital and RWA returns: own funds, Credit exposure returns, Leverage ratio, Large exposure. Working experience and knowledge of the Liquidity reporting or Capital and RWA returns is necessary. Appropriate training will be provided in other balance sheet and Liquidity/Capital - RWA returns (as the case may be) but awareness and working experience in some of the returns will be a plus. Preparation of Management Information, both pre-defined and ad-hoc, as directed by the manager. Support in production of treasury ALCO packs Ensure compliance to Various regulations and SOPs. Ensure accurate, timely and completeness of reporting. Maintain reporting integrity and compliance with the regulations by highlighting any gaps or error in the processes or logic and actively look to improve/develop them further. Governances: Maintain finance team governance tracker, regular SOP updates, audit/regulatory action tracking, projects tracking, new regulations/compliance driven projects tracking. Maintaining tracker of regulatory queries and supporting response gathering. Work closely with the UK Financial Controller and provide input into internal policy forum discussions regarding interpretation of regulations and guidance. Key skills expected from the candidate: Very strong Excel skills Strong data analytical skills and problem-solving skills Work experience- Minimum 5+ years of post-qualification experience in Regulatory Reporting- particularly Basel Reporting - Liquidity, Capital and RWA reporting. Experience in the Financial Services industry is essential - background in UK Regulatory (PRA/BOE) / Treasury / Risk management or related fields. Experience in handling large data, reconciliations and exercising controls - like building cross report controls and recs. Experience in Handling Regulatory Systems. New system implementation experience will be a plus Exhibit a control mind-set: cross check, build validation and cross validations, think through the impact. Adaptable to a fast changing, flexible working structure rather than being driven by instructions and hierarchies Diligent in routine tasks (some tasks will be daily, and routine and the candidate will be expected to ensure timely and correct updates to the regulatory reporting system) Keen learner and reader - assist with interpretation of new regulatory requirements. Be able to interpret reporting guidelines Team player and relationship builder : Support colleagues and peers and build working strong relationship across functions. Independently and effectively interact with confidence across teams (finance, credit risk, project, IT, operations, compliance), across jurisdictions (UK and India) to ensure all activities impacting regulatory reporting are executed efficiently and timely Enthusiastic- for taking up new assignments and projects and learning more Strong communication skills are required as the role will involve interaction with management & colleagues at various levels; ability to engage senior stakeholders. Challenge and question and not wait for instructions Have an organized and focused work ethic Improve processes and standardise them as much as possible for a growing bank. Academic Qualifications Degree qualification in Accounting / Finance Graduation/post-graduation from top rated college/CA/MBA Finance/CFA/FRM/PRM/ACT. About Us We re OakNorth Bank and we embolden entrepreneurs to realise their ambitions, understand their markets, and apply data intelligence to everyday decisions to scale successfully at pace. Banking should be barrier-free. It s a belief at our very core, inspired by our entrepreneurial spirit, driven by the unmet financial needs of millions, and delivered by our data-driven tools. And for those who love helping businesses thrive? Our savings accounts help diversify the high street and create new jobs, all while earning savers some of the highest interest on the market. But we go beyond finance, to empower our people, encourage professional growth and create an environment where everyone can thrive. We strive to create an inclusive and diverse workplace where people can be themselves and succeed. Our story OakNorth Bank was built on the foundations of frustrations with old-school banking. In 2005, when our founders tried to get capital for their data analytics company, the computer said no . Unfortunately, all major banks in the UK were using the same computer - and it was broken. Why was it so difficult for a profitable business with impressive cashflow, retained clients, and clear commercial success to get a loan? The industry was backward-looking and too focused on historic financials, rather than future potential. So, what if there was a bank, founded by entrepreneurs, for entrepreneurs? One that offered a dramatically better borrowing experience for businesses? No more what ifs, OakNorth Bank exists. For more information regarding our Privacy Policy and practices, please visit: https: / / oaknorth.co.uk / legal / privacy-notice / employees-and-visitors /

Regulatory Reporting Analyst Credit Risk | Immediate Joiners Preferred Industry: Business Consulting & Analytics Experience: 5+ Years Location: Pan-India (across major metro cities) We are looking for professionals with strong expertise in regulatory reporting and credit risk analytics , with hands-on experience in SAS and SQL . The role demands solid understanding of Basel regulations, RWA computation , and regulatory submissions for financial institutions. Ideal candidates should be self-driven, detail-oriented, and able to manage complex datasets to ensure compliance and reporting accuracy. Key Responsibilities: Prepare and review regulatory submissions aligned with Basel norms. Perform credit risk data analysis using SAS (Base/EG) and SQL . Automate reporting workflows and improve reporting accuracy. Collaborate with internal risk, finance, and compliance teams. Support audit requirements and stress testing analysis. Candidate Requirements: 5+ years of experience in regulatory reporting and credit risk analytics . Advanced skills in SAS and SQL . Deep understanding of Basel frameworks, RWA, and capital adequacy . Strong analytical and communication skills. Immediate to 30 days only. If you're ready for your next challenge, apply now! Interested candidates can apply on Shweta.arora@skillkart.co Keywords: #RegulatoryReporting #CreditRisk #SAS #SQL #RWA #Basel #RiskAnalytics #FinancialServices #BusinessConsulting #ImmediateJoiner

Led core banking upgrades, ensured system integration and data integrity. Developed regulatory compliance processes. Built and optimized BaaS solutions with stakeholders to enhance banking services. Mail:kowsalya.k@srsinfoway.com

Independent Testing Specialist - Regulatory Reporting / Financial Reporting & Control Testing About this role: Wells Fargo is seeking a Independent Testing Specialist. In this role, you will: Participate in less complex development and design of methodologies and standards for review activities companywide in alignment with the risk management framework Ensure effective and appropriate testing, validation, and documentation of review activities for risk programs, risks, and controls according to standards and other applicable policies within Independent Testing Support and implement less complex initiatives with low to moderate risk and exercise independent judgment to guide risk reporting, escalation, and resolution Present recommendations for resolving more complex situations and exercise independent judgment while developing expertise in risk management framework and the risk and control environment Collaborate and consult with colleagues, internal partners and management Required Qualifications: 2+ years of Independent Testing experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Desired Qualifications: Knowledge and understanding of financial services industry: compliance, risk management, or audit operations A BS/BA degree or higher in one or a combination of the following: Finance, Accounting, Analytics, or Reporting Big four public accounting experience A Master of Business Administration (MBA) or a Certified Public Accountant (CPA) designation Knowledge and understanding of regulatory reporting e.g. Federal Reserve, Financial Conduct Authority, OCC, SEC etc. Knowledge and understanding of regulatory compliance requirements surrounding SOX Sarbanes-Oxley Act Ability to take on a high level of responsibility, initiative, and accountability Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important Specialized knowledge or prior regulatory compliance testing or review experience Experience reviewing testing strategies and methodologies; evaluating the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls; and identifying issues resulting from internal and/or external compliance examinations Experience creating, executing, and documenting compliance, control, and business process testing Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) Experience supporting Regulatory Exams (Domestic and Intl), Audits, or other regulatory reporting related assessments Strong critical thinking skills with ability to credibly challenge status quo Strong organization and prioritization skills Strong relationship management skills; ability to negotiate difficult positions without harming relationships Job Expectations: Experience in Independent Testing, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education This role is in the Regulatory Reporting Incremental Compliance (RRIC) team within Independent Testing & Validation. RRIC is a centralized team, operates as a second line of defense over the regulatory and risk report production processes subject to BCBS 239 requirements. The team is an integral part of the Companys control environment and provides credible challenge to relevant participants in the reporting processes. RRIC has enterprise-wide exposure to lines of business, regulatory and risk reporting stakeholders as well as the external financial reporting and regulatory reporting infrastructures and frequently coordinates with internal audit.

You are a strategic thinker passionate about driving solutions in Financial Controller. You have found the right team. As a LEC Analyst in our Finance team, you will spend each day defining, refining and delivering set goals for us. You will be responsible for financial oversight of our legal entity, and you will be tasked with ensuring that a strong control environment exists as it relates to all our businesses, products, and operational areas that impact the Legal Entity financials and regulatory reporting. You will liaise with our line of business finance teams, operations, and the Legal Entity Controller community to promote the Legal Entity agenda. This role provides an opportunity to be at the forefront of financial control and regulatory reporting, offering a chance to make a significant impact on our firms financial health. Job Responsibilities Manage legal entity accounting and control, including the month-end close process, parent/child accounting, and equity pick-up. Monitor the monthly consolidation of the income statement and balance sheet. Conduct month-end analytical reviews of the legal entity to ensure completeness and accuracy of financial statements, and prepare various reports, including contributions to the Monthly Controller s Book, as well as Legal Entity and Line of Business financial commentary. Develop and maintain financial reports and schedules, and perform various control procedures to ensure the integrity of reported financial results. Investigate, analyze, and resolve issues, and support ad-hoc requests for financial information received from across the firm. Support Federal Reserve regulatory reporting. Review and confirm periodic financial and non-financial appendices for Resolution & Recovery. Complete reconciliation of numerous general ledger accounts for general ledger balance reconciliation. Required qualifications, capabilities, and skills Bachelor s degree in Accounting, Finance or related business field Proficient Excel skills Proficient organizational and problem-solving skills Proficient verbal and written communication skills Comfortable liaising with business partners while building and maintaining relationships Ability to critically challenge with the goal of identifying control issues Show initiative; be able to work independently yet keep all parties apprised of key issues Ability to work on multiple priorities at the same time Ability to learn quickly and be comfortable to navigate various reporting systems/tools Preferred qualifications, capabilities, and skills CPA a plus but not required

Exp. in Trade & Transaction Regulatory Reporting in-depth knowledge of the Broadridge regulatory reporting tool and extensive exp. in regulatory reporting across various jurisdictions including EMIR, CFTC, ASIC, and HKMA etc.Utilize the Broadridge Required Candidate profile •Lead and manage the regulatory reporting processes for trade and transaction reporting.• Drive transformation and improvement initiatives in the current reporting processes.• Ensure compliance

Job Title: Associate Regulatory reporting team Location: Jaipur, India Role Description The role is to perform a number of key functions that support and control the business in complying with a number regulatory requirements such as MiFID II, EMIR, CFTC and SFTR .This role forms part of a team in Bangalore that supports Regulatory reporting across all asset classes: Rates, Credit, Commodities, Equities, Loans and Foreign Exchange. Key responsibilities include day to day exception management MIS Compilation and User Acceptance Testing (UAT). This role will also indulge in supporting in-house tech requirements in terms of building out reports, macros etc. What we’ll offer you Best in class leave policy Gender neutral parental leaves 100% reimbursement under child care assistance benefit (gender neutral) Flexible working arrangements Sponsorship for Industry relevant certifications and education Employee Assistance Program for you and your family members Comprehensive Hospitalization Insurance for you and your dependents Accident and Term life Insurance Complementary Health screening for 35 yrs. and above Your key responsibilities Performing and/or managing various exception management functions across reporting for all asset classes, across multiple jurisdictions Ensure accurate, timely and completeness of reporting Working closely with our technology development teams to design system solutions, the aim to automate as much of the exceptions process as possible Liaising with internal and external teams to propose developments to the current architecture in order to ensure greater compliance with Regulatory requirements and drive improved STP processing of our reporting across all asset classes Perform root cause analysis or exceptions with investigation & appropriate escalation of any significant issues found through testing, rejection remediation or any other stream to senior management to ensure transparency exists in our controls Ability to build and maintain effective operational process and prioritise activities based on risk. Clear communication and escalation. Ability to recognize high risk situations and deal with them in a prompt manner. Documentation of BI deliverables. Support the design of data models, reports and visualizations to meet business needs Develop end-user reports and visualizations Your skills and experience 5-8year’s work experience within an Ops role within financial services. Graduate in Science/Technology/Engg./Mathematics. Regulatory experience (MIFIR, EMIR, Dodd Frank, Bank of England etc.) is preferred Preferable experience in Middle Office/Back Office, Reference Data and excellent in Trade Life Cycle (At least 2 asset Classes – Equities, Credits, Rates, Foreign Exchange, Commodities) Ability to work independently, as well as in a team environment Clear and concise communication and escalation. Ability to recognise high risk situations and deal with them in a prompt manner. Ability to identify and prioritize multiple tasks that have potential operational risk and p/l impact in an often high-pressure environment Experience in data analysis with intermediate/advanced Microsoft Office Suite skills including VBA. Experience in building reports and BI analysis with tools such as SAP Business Objects, Tableau, QlikView etc. Advanced SQL Experience is preferred. How we’ll support you Training and development to help you excel in your career Flexible working to assist you balance your personal priorities Coaching and support from experts in your team A culture of continuous learning to aid progression A range of flexible benefits that you can tailor to suit your needs About us and our teams Please visit our company website for further information: https://www.db.com/company/company.htm

Role & responsibilities Capgemini Invent is looking for candidates who have the right mix of Domain & Management experience to join our Data-driven FRC Pre-Sales track. The role will require the following: Primarily responsible for all activities leading in pre-sales, initial client communication & understanding the business and operational goals of our clients. Present and demonstrate end-to-end capabilities to all required point-of-contacts and prospective clients. Create Offers/Client Pitches/Business Proposals, respond to RFQs/RFPs and create quick proofs-of-concept / custom demos/integrations to help the sales team drive deal closures. To deliver a high-quality experience to the prospects & customers during engagement, acquisition, and onboarding. Present and demonstrate end-to-end capabilities of our solution accelerators to all required point-of-contacts and prospective clients. Participate actively and deliver Knowledge Sharing Sessions & Training to internal teams/partners. Domain Role: Understanding of systems/technology/data architecture, processes and controls infrastructure for Risk functions & production of regulatory reports such as FR-Y14 A/Q/M, FR-Y9C, FFIEC 101, COREP, FINREP, FR2052a, LCR, NSFR etc. Supporting large and complex risk data initiatives on key regulatory themes (e.g. Basel IV, CCAR, FRTB, CECL, Libor transition) including drafting business and functional requirements, test plans and user guides. Should be willing to take on a committed engagement role or client-facing advisory/delivery responsibilities while implementing our offers/solutions with our local and/or global teams. Working for the U.S. or International Banking or Capital Markets Regulator (e.g. SEC, CFTC, EBA etc.) Experience in Business Analysis with technology consulting firms in Financial Services domain. Should be able to conceptualise and lead the development of offers and consulting assets to support pre-sales, GTM pursuits and capability demonstrations. Core Competencies: Strong understanding of financial products, risk management and data management practices. Strong communication and interpersonal skills, with the ability to interact at all levels of the organization. Proficient in Microsoft PowerPoint, including the ability to create visually compelling and professional presentations, and the ability to effectively present findings /information to diverse audience. Experience with the configuration or implementation of any major Reg Reporting platforms or solutions will be a plus. Knowledge of banking and regulatory processes Excellent presentation and demonstration skills, addressing all key pain points of the client at hand. Excellent aptitude, problem-solving skills, and quick prototyping / proof -of-concept-creation skills. Should be passionate about customer-facing roles. Ability to grasp new technologies and drive executions quickly. Qualifications: Bachelors degree required in the relevant field with 12+ years of relevant work experience or Masters degree in the relevant field with 10+ years of relevant experience. 6-8 years of experience in a Pre-sales role. Very good understanding of Fund Compliance, Regulatory Reporting or Performance Reporting. Good understanding of various asset classes and products. Strong verbal & written communication skills. Ability to manage complex projects and multitask. Proficiency in MS Office (Word, Excel & PowerPoint). Valid Business Visa (B1 or H1) for travel to US

Responsibilities for KYC Sr. Analyst : - Conducting Due Diligence and Know Your Customer (KYC) research for institutional & corporate clients as part of the business-wide Anti-Money Laundering (AML) Compliance remediation & refresh processes Perform hands on task related to KYC and account opening (Including working with front office on information and documents, updating system with relevant details, perform checks, validating & uploading documents, managing pipeline for new accounts and KYC rolling review- KYC refresh) Produce accurate and quality work (90-95%) under tight deadlines and minimal supervision Executing and reviewing negative media alerts from client screening and escalating where necessary Meeting production target volumes and dates as advised Communication with the front office staff and other employees involved in the maintenance of internal control standards Identify and resolve or escalate, as appropriate, any issues in relation to the onboarding process Conduct Office of Foreign Assets Control (OFAC) screenings through World-Check and other similar tools to identify Politically Exposed Persons (PEPs) and heightened risk individuals and organizations CAMS certification or any industry recognized AML certification will be a plus Fluent in English (spoken and written) University graduate Minimum 3+ years related banking, compliance, audit experience with a minimum of 2-3 years specific experience relating to on-boarding of clients according to relevant AML legislations across NA, EU & APAC jurisdictions Strong analytical and problem-solving skills would be a significant plus Proven ability to manage multiple projects simultaneously. Good understanding of Corporate & Institutional Banking and Global Markets framework under International Financial Groups. Good understanding of Due Diligence and local Anti-Money Laundering requirements Maintain a working knowledge of anti-money laundering related requirements including BSA, USA Patriot Act, OFAC, SEC, FINRA, and other applicable US, UK EMEA regulations Actively engage in the identification of potential process shortcomings or required enhancements Technical & Behavioural Competencies Proficient in Microsoft Word, Excel, Outlook and PowerPoint Well-developed interpersonal, problem-solving and influencing skills Exhibit high willingness to collaborate with all levels of the organization.

Manage the team of Regulatory reporting for an Insurance client Support the team for preparing the reports, perform 100% review of the reports during closing cycle Update the regulatory changes in the models and validate from onshore team Performance monitoring and management of the team Coordinate and liaise with the external auditors to ensure Regulatory Reporting meets regulatory and compliance expectations. Ensuring complete and accurate documentation of the processes Interact and maintain strong relationships with various teams Skills 5+ years of experience in APRA Regulatory reporting for an Insurance company Knowledge of IFRS 17 must CA Inter/ Chartered Accountant preferred Ability to work effectively in a cross-functional organization and balance strategic priorities with tactical actions Proven track record and accountability in developing solutions that have an immediate impact on business financials Excellent communication skills with the ability to foster collaborative team environment with internal and external stakeholders Demonstrated success in developing and implementing strong, sustainable governance programs Ability to cultivate and maintain strong relationships across the organization Strong Microsoft Office skills, including advanced skills in Excel and PowerPoint Key Skills: a) 5+ years of experience in APRA Regulatory reporting for an Insurance company b) Knowledge of IFRS 17 c) JDE / ERP or Hyperion experience d) Any Graduate

Hiring: Market Registration & Entity KYC Investment Management Operations (Mumbai, Hybrid) We are looking for an investment operations professional with 4-7 years of experience to join our team. Location : Mumbai (Hybrid) | Laptop Provided for WFH Notice Period : Immediate to 30days | Interview Mode : 1 Virtual, 1 In-Person | Timings: 1:30pm 10:30pm Apply now to saikeertana@twsol.com Key Responsibilities: Oversee market opening & renewal for global jurisdictions (India, Indonesia, Egypt, Slovenia). Collaborate with investment teams, custodians, and compliance for seamless market entry. Track SEBI & global regulatory updates and ensure timely communication. Manage KYC documentation and counterparty requests. Must-Have Skills: Strong knowledge of investment operations (mutual funds). Project management & stakeholder coordination expertise. Ability to multitask and work with multiple teams. Good-to-Have: Experience with SEBI regulations & global market documentation.

This position supports Optum Technology Accounting team and would require the candidate to consolidate, analyze and ensure key finance and non finance data originating from multiple source platforms/teams is captured accurately and consistently and thereby ensuring data integrity. Works closely with the business to develop, recommend and establish strategies, plans, and processes to improve profitability and cost efficiencies. This role also requires the candidate to support efforts towards streamlining the input data and thereby contribute in improving accuracy. Primary Responsibilities: Own primary responsibility for the accuracy and completeness of deliverables assigned The prime focus of this role is to collaborate with our internal business partners on Infrastruture Chargebacks and perform general accounting on timely manner Perform ad hoc reporting and analysis and investigate issues along with well documented commentary and action plan Prepare and analyze general ledger account reconciliations. Resolve reconciling items in a timely manner Maintain general ledger accounts and related activities for the production of financial statements and reports Reconcile, analyze and review general ledger accounts in preparation for month end close cycles Prepare journal entries and review accounting classifications, in accordance with generally-accepted accounting principles Assist with or lead the month-end and quarter-end close process Prepares monthly balance sheet reconciliations (Blackline) and identifies and researches reconciling items Own primary responsibility for the fulfillment of audit (internal and external) requests, as needed Support the organizations sound internal control structure around U.S. GAAP, Sarbanes-Oxley and Model Audit Rule compliance (as applicable) Liaise with core business partners within the organization, including but not limited to Regulatory Reporting, FP&A, Legal, Compliance Collaborate with management with the identification and documentation of financial risks and opportunities impacting assigned accounting responsibilities Work toward being subject matter experts on various Optum Technology contract provisions Collaborate with management to adapt to and manage through contract amendments / renewals and the resulting accounting impacts Perform work in a both team-oriented and self-directed work environments and demonstrate ability to work with less structured, more complex issues Collaborate with team members on special projects, as needed Comply with the terms and conditions of the employment contract, company policies and procedures, and any and all directives (such as, but not limited to, transfer and/or re-assignment to different work locations, change in teams and/or work shifts, policies in regards to flexibility of work benefits and/or work environment, alternative work arrangements, and other decisions that may arise due to the changing business environment). The Company may adopt, vary or rescind these policies and directives in its absolute discretion and without any limitation (implied or otherwise) on its ability to do so Required Qualifications: B.Com/M.Com, MBA Finance, CA Inter, equivalent experience (5+years) CAs (4+ Years Post Qualification) 5+ years of professional accounting experience Experience working with general ledger / sub-ledger accounting applications Experience working with reporting tools like Hyperion and PeopleSoft General ledger Good understanding of U.S. GAAP Advance proficiency utilizing Microsoft Office Suite applications (Advanced Excel, Word, Powerpoint) Proven analytical skills and an eye for detail, Hands on exposure to varience analysis & Commentary Writing Proven excellent Written and verbal communication skills Proven ability to handle multiple tasks.

Industry :- BFSI Head Office Location :- Bangalore 1. Role Purpose Handling Reserve Bank of India (RBI) Compliances applicable to NBFC-Non-Deposit-Systematically Important (Middle Layer NBFC) & other compliances applicable to the Company. Key Accountabilities :- Ensuring compliance to RBI regulations applicable to NBFCs Develop and support implementation of company policies and regulations Design and monitor control systems to deal with violations of legal rules and internal policies Regularly assess the efficiency of control systems and recommend effective improvements Review and evaluate company procedures and reports to identify hidden risks or common issues Coordinate with different department managers to review all departmental compliance policies Perform periodic compliance audits on company procedures and processes Implement procedures to ensure compliance with regulations and advise internal departments on how to meet compliance requirements Lead employee training sessions on legal and compliance issues Assist in handling compliances under Companies Act / SEBI & e-filing Assist in organizing Board / Committee Meetings Handling any other compliances as may be applicable to the Company For more details or to apply for this opportunity, email your updated Resume or CV on nitish.o3hire@gmail.com

Join us as an Analyst Regulatory Reporting role, where to gather, analyze, and present risk data in a clear and concise manner to stakeholders across the organization, facilitating informed decision-making, risk mitigation, and regulatory compliance. At Barclays, we dont just anticipate the future - were creating it. To be successful in this role, you should have below skills: Internal Control Procedures. Regulatory Reporting. Regulatory Process. Basel 1, BASEL 2, BASEL 3 reporting/ Pillar I, Pillar II reporting. Corep Reporting, Regulatory control matrix, large exposure, Leverage Ratio. Some other highly valued skills may include below: Regulatory Compliance. Regulatory Techniques. You may be assessed on the key critical skills relevant for success in role, such as risk and controls, change and transformation, business acumen strategic thinking and digital and technology, as well as job-specific technical skills. This role is based in our Chennai and Noida office. Purpose of the role To identify, assess and mitigate prudential regulatory reporting risks, provide oversight on regulatory reporting, and maintenance of open communication with regulators to ensure that the banks activities and operations comply with all applicable laws, regulations, and internal control policies. Accountabilities Identification and assessment of prudential regulatory reporting risks arising from the banks activities, products, and services. Development and implementation of strategies to mitigate prudential regulatory reporting risks, ensuring compliance with all applicable laws, regulations, and internal control policies, and conduct regular compliance reviews and audits to identify and address potential compliance gaps or violations. Assessment of the effectiveness of the bank s internal control processes and governance framework, including addressing any weaknesses or gaps that could lead to regulatory reporting non-compliance, and implementation of measures to strengthen internal controls. Preparation and submission of regulatory reports to authorities, and provision of support to other departments in their preparation and review of regulatory reports. Analysis and presentation of regulatory data to provide insights into business performance, identify trends, and support decision-making. Development and implementation of training programmes to educate employees on regulatory requirements and compliance responsibilities. Communication and liaising with regulatory bodies, prompt responses to inquiries and provision of requested information, and representation of the bank in meetings with regulators. Management of the selection, implementation, and maintenance of regulatory reporting systems and software applications, including collaboration with IT colleagues to integrate regulatory reporting systems with other enterprise systems. Analyst Expectations To perform prescribed activities in a timely manner and to a high standard consistently driving continuous improvement. Requires in-depth technical knowledge and experience in their assigned area of expertise Thorough understanding of the underlying principles and concepts within the area of expertise They lead and supervise a team, guiding and supporting professional development, allocating work requirements and coordinating team resources. If the position has leadership responsibilities, People Leaders are expected to demonstrate a clear set of leadership behaviours to create an environment for colleagues to thrive and deliver to a consistently excellent standard. The four LEAD behaviours are: L - Listen and be authentic, E - Energise and inspire, A - Align across the enterprise, D - Develop others. OR for an individual contributor, they develop technical expertise in work area, acting as an advisor where appropriate. Will have an impact on the work of related teams within the area. Partner with other functions and business areas. Takes responsibility for end results of a team s operational processing and activities. Escalate breaches of policies / procedure appropriately. Take responsibility for embedding new policies/ procedures adopted due to risk mitigation. Advise and influence decision making within own area of expertise. Take ownership for managing risk and strengthening controls in relation to the work you own or contribute to. Deliver your work and areas of responsibility in line with relevant rules, regulation and codes of conduct. Maintain and continually build an understanding of how own sub-function integrates with function, alongside knowledge of the organisations products, services and processes within the function. Demonstrate understanding of how areas coordinate and contribute to the achievement of the objectives of the organisation sub-function. Make evaluative judgements based on the analysis of factual information, paying attention to detail. Resolve problems by identifying and selecting solutions through the application of acquired technical experience and will be guided by precedents. Guide and persuade team members and communicate complex / sensitive information. Act as contact point for stakeholders outside of the immediate function, while building a network of contacts outside team and external to the organisation.

Sumitomo Mitsui Banking Corporation Job Responsibilities Submission of Regulatory Returns under supervision of reporting manager Risk Based Supervision (ad-hoc regulatory query management and periodic submissions) Support in MIS creation/betterment Managing day to day tasks e.g. reconciliation/day end reports, circulation of daily reports etc. Coordinating with other departments for data requirements Maintenance of MIS for NPE Budget Preparation of data for ad-hoc requirements from RBI Preparation of agenda of meetings for updates to Management such as NPE, CRAR, Key regulatory guidelines Knowledge sharing Audit Management Support in implementation of key regulatory frameworks Review existing processes, policies for refinement. Motivate, train, and develop staff within agreed policies and practices to maintain an effective workplace capable of meeting its objectives. Maintaining strong risk management culture (a) Knowledge (b) Skills (c) Experience (d) Qualifications Experience – Minimum 7-10 years in RBI Reporting/Accounting & Finance/Audit Management/dealing with RBI. Thorough awareness of key RBI Directions. Special Skills Required – CA/MBA/Graduate The role is aimed to independently and efficiently manage various tasks such as complex regulatory reporting (e.g., CRAR, LEF, DSB Returns, Statutory Returns, CRILC etc.), dealing with regulatory authorities (e.g. query management and submission under Risk Based Supervision), project management (e.g. CRAR automation, NPA project etc.). This position is also expected to have better coordination/networking with external stakeholders (RBI) and good communication and analytical skills to help internal stakeholder with key inputs and thereby supporting decision making. The profile involves recurring interaction with internal stakeholder and externally with the regulator, with priority to act not only as a team contributor but also in leading team, under the supervision of senior colleagues. The position is also expected to represent FAD in Mumbai Branch for smooth coordination with local staff, query management etc.

Business Analyst Capital Markets & Investment Banking Role Summary We are looking for a detail-oriented Business Analyst to support front-to-back change initiatives across capital markets. The role focuses on gathering and translating business requirements, supporting regulatory and operational change, and collaborating with stakeholders to deliver effective solutions. Key Responsibilities: Gather, document, and validate business and functional requirements. Conduct gap analysis, process mapping, and solution design. Translate business needs into user stories and functional specifications. Collaborate with stakeholders across Front Office, Operations, Risk, and Technology. Support testing strategy, including UAT planning and defect triage. Contribute to regulatory reporting, trade lifecycle optimization, and control enhancements. Document current and target state processes and support change adoption. Required Skills & Preferred Experience: Strong domain knowledge in capital markets or financial markets. Experience in business analysis within investment banking. Familiarity with regulatory frameworks (e.g., EMIR, MiFID II, SFTR, SEC, CFTC, Basel III). Product knowledge across Equities, Derivatives, FX, EM, and Treasury. Understanding of legal agreements (GMRA, GSLA, ISDA) is advantageous. Proficiency in tools such as JIRA, Confluence, Visio, and Excel. Strong communication and stakeholder engagement skills. Desirable Technical Skills: SQL, Python, or Alteryx for data analysis Power BI or Tableau for reporting Familiarity with systems like Murex, SOPHIS, or SUMMIT Certifications (Preferred): Agile, PRINCE2, SCRUM, or Lean Six Sigma

- Provide support in regulatory reporting and documentation. - Assist in developing and delivering compliance training programs for employees. - Collaborate with different departments to ensure compliance with anti-money laundering (AML), Know Your client.

BASIC QUALIFICATIONS Bachelor s degree required Minimum 4 years work experience in the Financial Industry Proficient in the use of MS Office products Analytical thinker with the ability to generate innovative ideas and translate strategy to execution Strong data analysis skills with a working knowledge of databases Problem solving and documentation skills with an ability to understand complex workflows Candidate must be proactive, enthusiastic and team oriented Accuracy and attention to detail Strong written and verbal communication skills Proven ability to organize and prioritize workload and drive results. Ability to learn quickly and adapt to new changes and new challenges Working knowledge of financial products, e.g. Equities, Fixed Income, Exchange Traded OTC Derivatives Previous exposure to regulatory reporting Basic knowledge of SQL Knowledgeable about securities processing, corporate actions, and asset servicing a plus

Job Title: IT Regulatory Reporting Governance Coordinator Corporate Title: AVP Role Description The IT Regulatory Reporting Governance team provides an essential 24x7 service to manage IT regulatory reportable events related to IT incidents. The team is responsible for coordinating with IT stakeholders to assess, classify and ensure timely and accurate reporting to regulators. The team operates with a high level of expertise and coordination to manage the complex regulatory landscape effectively. A significant portion of the team's work involves ensuring compliance with the European Supervisory Authority (ESA) Digital Operational Readiness Act (DORA), which sets a new standard for regulatory reporting. However, the team's scope extends beyond DORA to include support for additional regulatory requirements including but not exhaustive of MAS, FSS, US Regulators, US Fed, FSA, HKMA. The IT Regulatory Reporting Governance Coordinator will play a vital role in supporting the operational execution of the IT Regulatory Reporting process. This position involves assessing and classifying incident data to identify events that may require regulatory reporting, as well as preparing and submitting accurate regulatory reports. Additionally, the role includes providing oversight and conducting four-eye checks to ensure the accuracy and completeness of these reports. The IT Regulatory Reporting Governance Coordinator will also be responsible for identifying potential service improvements and associated risks, contributing to the overall efficiency and effectiveness of the reporting process. This role is integral to ensuring Deutsche Bank meets its regulatory obligations efficiently and effectively, while also supporting continuous improvement and risk management within the regulatory reporting process. Your key responsibilities Executing the regulatory reporting process in adherence with all Deutsche Bank charters, policies, key operating procedures, and key operating documents. Performing initial assessment and classification of data to support the identification of potential regulatory reportable events and preparing draft reports. Preparation and responsibility for the submission of accurate regulatory reports to the Regulator. Oversight/Four-eye checks to ensure the accuracy and completeness of regulatory reports. Identifying risks related to regulatory compliance, support processes and controls, ensuring escalation where required. Contributing to Continual Service Improvements. Undertaking reporting activities to support monthly service reports. Participating in OnCall/Weekend/Bank Holiday working where required. Your skills and experience Essential - Excellent communication skills, both written and verbal. Essential - Effective team collaboration and interpersonal skills. Essential - Ability to work well under pressure and meet tight deadlines. Essential - Demonstrable experience in financial reporting, preferably within a regulated industry. Essential - Ability to extract and analyse data with attention to detail to identify if Regulatory Reporting triggers have been reached. Essential - An ability to navigate ambiguity Desired People Management experience. Desired - An understanding of Incident & Problem Management processes. Desired - Awareness of IT regulations applicable to financial institutions.

Job Title: Regulatory Reporting Associate Role Description Regulatory Reporting is responsible for establishing and maintaining control frameworks designed to manage regulatory - monitoring, surveillance, compliance, transaction monitoring and screening. As a Regulatory Reporting team member, you will be responsible for managing daily reporting tasks and remediation activities. Your key responsibilities Participate in change and BAU activities. Perform daily reviews of exceptions within the SLAs. Ensure accurate investigation and timely escalations. Identify opportunities to create efficiency in the current process. Liaise with internal stakeholders for issue resolutions Participate in new system implementation and projects Review and update KOPs, SOPs etc. Keep track and maintain issue Jiras Prepare daily, weekly, and monthly MI. Your skills and experience Understanding of Transaction Reporting, Post Trade Reporting and Regulatory reporting framework Knowledge of Non-Financial Regulations. EMIR Refit & MiFID is a priority. Knowledge of Jira application Knowledge of Derivatives products Business Intelligence Skills (good to have) Alteryx, Tableau, SQL etc. Need to be aware and have and understanding of market, financial institutions, operations errors and risks. Must exhibit strong partnership skills. Team player, highly motivated, problem solver Inquisitive and analytical Strong communication skills Bachelors degree

AML Transaction Monitoring Lead Job Locations IN-KA-Bengaluru Requisition ID Category (Portal Searching) Compliance Position Type (Portal Searching) Experienced Professional Overview Connecting clients to markets and talent to opportunity With 4,300 employees and over 400,000 retail and institutional clients from more than 80 offices spread across five continents, we re a Fortune-100, Nasdaq-listed provider, connecting clients to the global markets focusing on innovation, human connection, and providing world-class products and services to all types of investors. At StoneX, we offer you the opportunity to be part of an institutional-grade financial services network that connects companies, organizations, and investors to the global markets ecosystem. As a team member, youll benefit from our unique blend of digital platforms, comprehensive clearing and execution services, personalized high-touch support, and deep industry expertise. Elevate your career with us and make a significant impact in the world of global finance. Responsibilities Position Purpose: The primary purpose of the role is to ensure the robustness and effectiveness of the transaction monitoring process within STONEX. The role plays a critical role in safeguarding the integrity of STONEX s financial operations and mitigating potential risks to the business and its stakeholders. General Duties Regulatory Compliance: Stay up to date with relevant regulations, guidelines, and best practices related to transaction monitoring, such as Anti-Money Laundering (AML), Counter-Terrorist Financing (CTF), and Know Your Customer (KYC) requirements Risk Identification and Assessment: Analyse financial transactions to identify potential risks and patterns of money laundering, fraud, and other financial crimes, and assess the severity of these risks based on established criteria Alert Investigation: Review alerts generated by the transaction monitoring system, conduct in-depth investigations to determine the legitimacy of flagged transactions, and escalate suspicious activities to the Head of Transaction Monitoring Process Improvement: Continuously assess the transaction monitoring processes, procedures, and controls, and recommend enhancements Team Coaching and Mentorship: the ability to coach and mentor other team members effectively to ensure transaction monitoring reviews meet established standards through guidance and support. Training and Awareness: Develop and deliver training programs to educate associates on transaction monitoring regulatory obligations, emerging trends in financial crimes, transaction analysis, and alert investigations MI and KPI Reports: Prepare weekly and monthly MI and KPI reports for the Head of Transaction Monitoring and senior management Qualifications Knowledge and Experience Strong understanding of financial crime prevention requirements in regulated financial institutions Minimum 3 years of experience in transaction monitoring as a senior or SME Knowledge of regulatory reporting and regulatory operations Excellent critical thinking, with the ability to analyse situations and solve problems. Qualifications and Skills Bachelors degree in Business Management , Law, or other appropriate discipline Strong and efficient decision-making skills with the ability to use judgment and operate autonomously when required Effective planning, organisational, and time management skills Strong relationship-building and communication skills Exceptional proficiency in the English language is required for this role #LI-Hybrid #LI-SC1 Options Apply for this job online Apply Share Email this job to a friend Refer Sorry the Share function is not working properly at this moment. Please refresh the page and try again later. Share on your newsfeed

Must have handled large operations for domain Good understating in Transactional reconciliation Not looking for Balance-sheet reconciliation experience Should be strong in reconciliations architecture including core system, internal account (ledger) and external Experience in regulatory reporting processes, ideally involving testing or quality assurance of regulatory reports Exposure to reconciliation application tools (Accurate, Intellimatch) Product specific knowledge of transaction and other reporting operations Good people management skill and experience in analyzing and document Should have excellent communication skills

JD for finance advisory: Skills required: Sound technical knowledge and practical experience of Indian GAAP, Ind AS, IFRS and/or US GAAP Technical knowledge and practical experience of Fund accounting, Fund Financial reporting, Investment products accounting, Alternative investments, Capital markets and/or Fund operations and regulatory reporting Practical knowledge of finance function and financial reporting process Practical knowledge of the financial reporting compliance from a regulatory perspective Familiarity with Companies Act, SEBI and related regulatory requirements Possess strong domain knowledge, has strong accounting foundation skills Experience of financial reporting / accounting implications for M&A / group restructuring Experience of financial reporting and finance transformation projects would be an added advantage. . Chartered Accountant Responsibility End to end project management. Key activities include guiding the team on technical accounting / financial reporting matters, manage client relationships, monitor project progress and relevant operational / financial matters. Assist clients with respect to technical accounting matters, reporting and operational activities of funds under US GAAP/UK GAAP/IFRS. Application of IGAAP, Ind AS, IFRS and / or US GAAP or an equivalent GAAP on engagements - GAAP conversion and / or topical queries on technical accounting matters Financial reporting support (technical as well process related) services to clients Assist clients with respect to financial reporting requirements in connection with listing of securities Demonstrate in-depth technical capabilities and professional knowledge. Demonstrate ability to assimilate new knowledge Possess good business acumen. Remain current on new developments in advisory services capabilities and industry knowledge Work with stringent deadlines and deliver effectively and efficiently

Role & responsibilities: This position will be an integral part of the Regulatory Reporting Division. As a member of the Regulatory Team, the primary responsibility is to ensure the effective implementation and maintenance of internal control procedures for all reporting. The manager/leader is responsible for the design, implementation, and monitoring of the reporting system. This includes developing and maintaining processes as well as conducting 100% reconciliations to prevent any incorrect reporting, ensuring the accuracy of financial and collateral reporting, and complying with applicable laws and regulations. The candidate should have solid knowledge of stock broking frameworks in the financial services industry. Periodic reviews of processes will be conducted, including risk analysis, gap analysis, and operational risk assessments. Preparing risk indicator dashboards, ensuring regulatory assurance, exception reporting, and coordinating with internal and external stakeholders for smooth processing will also be part of this job. Identify potential risks and control gaps through assessments and data analysis. Design and implement controls to mitigate identified gaps and prevent financial losses. Monitor the effectiveness of reporting mitigation measures and recommend improvements as necessary. Develop and maintain the system, including norms, ensuring the accuracy of financial reporting and compliance with applicable laws and regulations. Collaborate with stakeholders to implement control-related initiatives and ensure accountability. Document findings, recommendations, and action plans arising from reviews. Maintain accurate records and logs for audits and regulatory examinations. Stay up-to-date with relevant laws, regulations, and industry standards affecting the financial services sector. Ensure compliance with internal policies as well as external regulatory requirements. Monitor the effectiveness of the internal system and make recommendations for improvement. Collaborate with cross-functional teams to streamline processes and improve operational efficiency. Identify opportunities to automate or optimize control procedures and enhance the accuracy and reliability of information. Prepare and present reports on the results of internal control assessments to management. Preferred Skills and Knowledge: Solid knowledge of stockbroking frameworks in the financial services industry. Experience in conducting risk assessments, internal audits, or compliance reviews. Familiarity with financial systems, processes, and regulatory requirements specific to the financial services sector. Strong analytical and problem-solving skills, with the ability to identify control deficiencies and recommend appropriate solutions. Excellent communication and interpersonal skills to effectively collaborate with stakeholders at all levels. Attention to detail, high ethical standards, and the ability to handle sensitive and confidential information. I) Generic Capabilities Vision and Strategic Orientation: Developing, communicating, and aligning others around the organization's vision and strategy for the future. Taking a long-term perspective on problems and opportunities and proposing innovative strategies that leverage the organization's competitive advantage. Planning and Organizing: Effectively managing time and resources to achieve short- and long-term goals, balancing detail orientation with speed of execution while planning and prioritizing. Teamwork: Leveraging individual and collective capabilities to work seamlessly. Sacrificing one's own agenda in the interest of the team/organization. Fostering a cooperative and collaborative work environment. Facilitating Change: Demonstrating flexibility and a willingness to embrace change. Proactively challenging the status quo and championing change management initiatives within the workplace. Communication Skills: Conveying ideas and opinions (both verbal and written) in a clear, concise, timely, and understandable manner. Listening, empathizing, and using the appropriate content, mode, and style of communication to suit the target audience. Creativity and Innovation: Demonstrating the ability to challenge the status quo, think outside the box, and come up with new, practical solutions. Fostering a climate that encourages creativity and innovation. Drive for Results: Maintaining a focused commitment to achieving results despite unanticipated obstacles. Setting challenging goals and standards of excellence for oneself and the team and continuously evaluating performance against these standards. Problem Solving and Decision Making: Identifying and resolving problems and making decisions in a timely manner after thorough analysis of all relevant sources and options, keeping in mind the current and future impact of these decisions on the company's objectives. Developing Self and Others: Valuing continuous learning by fostering a climate for the development of oneself and others based on the needs of the organization and the individual, while providing coaching support and feedback. II) Technical/Specialist Skills & Knowledge Expected For This Role Effective Communication Skills: Knowing when to speak, what to speak about, and how to speak. Writing & Presentation Skills: Proficient in email generation and note-making, with content that reflects an intelligent, creative, and well-read mind. Proficiency in MS Office: Demonstrating good hands-on skills in MS Office. Relevant Work Experience: A minimum of 5-6 years of experience in internal control handling in a reputable organization. III) Academic Qualification 1. A Graduate/Post Graduate2. Excellent Interpersonal and Communication Skills.

Paytm is India's leading mobile payments and financial services distribution company. Pioneer of the mobile QR payments revolution in India, Paytm builds technologies that help small businesses with payments and commerce. Paytm’s mission is to serve half a billion Indians and bring them to the mainstream economy with the help of technology. Role Revenue Assurance: Conducting regular reconciliations of transaction data from various sources (payment gateways, platforms, etc.). Identifying and investigating discrepancies in revenue streams. Implementing controls to prevent revenue leakage and fraud. Monitoring and analyzing transaction patterns to detect anomalies. Ensuring accurate billing and invoicing processes. Analysis of product wise income vs cost. Finance Operations: Managing daily financial operations, including payment processing and settlements. Supporting the month-end and year-end closing processes. Assisting with financial reporting and analysis. Ensuring compliance with relevant financial regulations (e.g., KYC, AML). Processing of commission and incentive payments. Reconciliations with partner banks, and aggregators. Risk Management: Identifying and mitigating financial risks associated with digital transactions. Implementing and maintaining internal controls. Supporting internal and external audits. Data Analysis and Reporting: Analyzing large datasets to identify trends and patterns. Preparing reports on revenue assurance and finance operations performance. Using financial software and data analysis tools (e.g., Excel, SQL, data visualization tools). Compliance: Keeping up to date on all regulatory changes that affect the fintech industry. Ensuring that the company is in compliance with all applicable laws and regulations. Timely regulatory reporting. : CA / Semi Qualified/ Graduate in Finance Minimum 5 years of experience in finance and controllership role Strong knowledge of Revenue Assurance, Accounting, financial analysis, MIS and reporting, Managing Auditors Proficiencyin ERP tools, specifically SAP Advanced Excel skills Perks and benefits: Why join us : 1. A collaborative output driven program that brings cohesiveness across businesses through technology 2. Improve the average revenue per use by increasing the cross-sell opportunities 3. A solid 360 feedbacks from your peer teams on your support of their goal 4. Respect, that is earned, not demanded from your peers and manager Compensation: If you are the right fit, we believe in creating wealth for you With enviable 500 mn+ registered users, 21 mn+ merchants and depth of data in our ecosystem, we are in a unique position to democratize credit for deserving consumers & merchants and we are committed to it. India’s largest digital lending story is brewing here. It’s your opportunity to be a part of the story!