16 Regulatory Rules Jobs

As a Business Analyst, you will play a crucial role in understanding the business, customers, and strategic goals of the company to support the realization of desired outcomes. Your main responsibilities will involve: - Collaborating with teams and stakeholders to capture, validate, and document business and system requirements in alignment with key strategic principles. - Interacting with customers, key stakeholders, and the team to gather and document functional and non-functional needs. - Analyzing business requirements and technical specifications to translate them into small, testable, and releasable elements. - Creating and executing test scenarios and test scripts, as well as identify...

As a member of the Investment Compliance team at Voya IM, your main responsibility will be to ensure investment policy compliance by checking investment restrictions against funds exposure. This role requires a strong analytical mindset and attention to detail. You will be responsible for reading fund prospectuses, investment policies, and investment policy statements to extract applicable investment restrictions. Additionally, you will need to understand and amend existing coded rules on the BlackRock Aladdin platform, as well as code new rules with testing to ensure accurate results. Your role will also involve routine review of existing clients" investment guidelines, implementing changes...

Job Description Location : Gurgaon /Bangalore/Chennai /Hyderabad Some Careers Have More Impact Than Others. If you're looking for a career where you can make a real impression, join HSBC and discover how valued you'll be. HSBC is one of the largest banking and financial services organisations in the world, with operations in 62 countries and territories. We aim to be where the growth is, enabling businesses to thrive and economies to prosper, and, ultimately, helping people to fulfil their hopes and realise their ambitions. We are currently seeking an experienced professional to join our team in the role of Senior Assessor Calculation Compliance Business: Finance Principal Responsibilities R...

As an Associate in Collateral Operations at Derivative Operations, your role involves managing Portfolio Reconciliation, Margin call management, and ensuring Regulatory adherence for upcoming regulations. You will also be responsible for supervising MTM breaks, improving controls in the process, and managing any new analysis requirements across multiple stakeholders. Your key responsibilities will include: - Manage Portfolio Reconciliation and Collateral Dispute. - Manage daily Margin Exchange - Same day Settlement and Exception management. - Perform supervisory controls around Collateral exposure. - Supervise MTM breaks including data quality and strategic projects. Partner with Middle Offi...

As an Assistant Analyst Calculation Compliance at HSBC, you will be responsible for reviewing adherence of calculation logic with regulatory rules and HSBC Policy determinations for less complex NMCs. Your key responsibilities will include: - Engaging with policy SMEs as required - Reviewing readiness of calculation documentation for assessment - Defining test data scenarios and expected test results for Analysts to prepare detailed test scripts - Conducting a detailed review of test results to determine compliance with regulatory rules and HSBC Policy determinations - Identifying findings where rules and policy determinations are not met - Contributing to the production of formal Assessment...

As an Associate in Collateral Operations within Derivative Operations, your role will involve managing Portfolio Reconciliation, Margin call management, and ensuring Regulatory adherence. You will also be responsible for cross LOBs metrics and projects, aiming to build a culture of continuous improvement across Back Office, Middle offices, and Global teams. Your interactions with multiple Operations & Technology teams will be crucial in providing business support. - Manage Portfolio Reconciliation and Collateral Dispute. - Oversee daily Margin Exchange - Same day Settlement and Exception management. - Supervise MTM breaks, including data quality and strategic projects in collaboration with M...

Role Overview: You will be responsible for supporting the Firm's social networking initiatives by reviewing and approving profiles, status updates, and tweets. Additionally, you will validate closed action items, coordinate with the MICOS staff in Poland to upload and track issues in the centralized tracking system, and assist the Americas Head of Compliance Reviews with management reports and information metric. Your role will also involve gathering and/or analyzing relevant documents for branch/desk reviews, updating and/or revising procedures manual, researching applicable regulatory rules or Firm policies, and maintaining a database of branch/desk review findings. Key Responsibilities: -...

Role Overview: Join us as a Controls Testing Manager where you will be responsible for delivering regular testing of key controls and files, as well as completing targeted control reviews for a franchise or function. Working closely with relevant business areas and other business controls teams, you will ensure findings from reviews are escalated and robust action plans are agreed upon and driven forward with key stakeholders. This role offers a highly collaborative environment, providing an opportunity to develop your skillset and raise your profile across the bank. This position is offered at the director level. Key Responsibilities: - Ensure timely completion of all appropriate risk issue...

As a Real Estate Consulting Associate at RSM, you will be part of a team that provides professional services to the middle market globally. Our purpose is to instill confidence in a world of change, empowering clients and people to realize their full potential. Our inclusive culture and talent experience are unmatched, and our exceptional people are key to our success. You will find an inspiring environment that nurtures personal and professional growth. At RSM, we value individuality and believe that there is no one quite like you, which is why there is nowhere quite like RSM. The Real Estate and Valuation Practices at RSM LLP offer a comprehensive range of services and innovative solutions...

ACA is a reputable firm that was established in 2002 by former SEC and state regulators to provide expert guidance to investment advisers on existing and new regulations. Over the years, ACA has expanded its GRC business and technology solutions through both organic growth and acquisitions. The firm now offers a wide range of services such as GIPS standards verification, cybersecurity, regulatory technology, ESG advisory, AML and financial crimes, financial and regulatory reporting, and assistance with establishing EU operations through Mirabella. The Marketing Review (MR) team at ACA plays a crucial role in assisting clients in ensuring that their marketing materials comply with relevant re...

As an Assistant Vice President- Credit Model Development at HSBC, you will play a crucial role in leading and delivering key wholesale risk model engagements. Your primary responsibilities will include the development, validation, and maintenance of regulatory credit risk models for wholesale clients, as well as Wholesale Economic response models such as stress testing and IFRS9. You are expected to showcase expertise in technical areas like statistical regression analysis, model builds of PD, LGD, and EAD models, while also demonstrating a deep understanding of the Wholesale business environment and its credit products. Your role will involve engaging with team leads, senior management, pro...

The Derivative Operations team provides operational support across CIB, encompassing key product areas such as FX, OTC Derivatives, Principal Collateral, 3rd Party Derivatives, Cleared Derivatives, Agency Collateral, Billing, and CASS. As an Associate in Collateral Operations, you will play a pivotal role in various responsibilities including Portfolio Reconciliation, Margin call management, Regulatory adherence for upcoming regulations, cross LOBs metrics, projects, and fostering a culture of continuous improvement. Your interactions will span across various Operations & Technology teams within the organization to deliver comprehensive business support. Your core responsibilities will invol...

As an Associate in Collateral Operations within Derivative Operations, you will play a crucial role in managing Portfolio Reconciliation, Margin Call Management, and ensuring Regulatory Adherence for various upcoming regulations. Your responsibilities will also include overseeing cross LOBs metrics, supervising daily Margin Exchange operations, and collaborating with different teams to support the business effectively. You will be actively involved in managing Portfolio Reconciliation and Collateral Dispute, ensuring same-day Settlement for Margin Exchange, and conducting supervisory controls related to Collateral exposure. Additionally, you will be responsible for addressing MTM breaks, foc...

As an Investment Compliance professional at VOYA INDIA, you will be an integral part of the team responsible for ensuring adherence to investment policies, particularly focusing on BlackRock Aladdin platform. Your role will involve analyzing investment restrictions against fund exposure, reading fund prospectuses and policy statements to extract relevant restrictions, and amending or coding rules on BlackRock Aladdin for accurate compliance reporting. You will need to have a strong eye for detail to identify any miscalculations or deficiencies in approach, as well as the ability to understand different exposure calculations. Additionally, your investigative and research-oriented mindset will...

As one of the world's leading asset managers, Invesco is dedicated to helping investors worldwide achieve their financial objectives. By delivering the combined power of our distinctive investment management capabilities, we provide a wide range of investment strategies and vehicles to our clients around the world. If you're looking for challenging work, smart colleagues, and a global employer with a social conscience, come explore your potential at Invesco. Make a difference every day! Your Team: The EMEA compliance team takes care of EMEA (UK, LUX, FRT, Ireland, Paris) domiciled accounts governed by UCITS guidelines. The team is responsible for compliance monitoring of prospectus rules, re...

As a Senior Assessor - Calculation Compliance at HSBC, you will play a crucial role in ensuring adherence to regulatory rules and HSBC Policy determinations. Your responsibilities will include reviewing complex calculation logic, defining test data scenarios, and analyzing test results to ensure compliance. You will collaborate with policy Subject Matter Experts (SMEs) and provide direction to Analysts for reviewing calculation documentation readiness. Your keen eye for detail will be essential in identifying any discrepancies where regulatory rules or HSBC Policy determinations are not met. Your findings will be documented in formal Assessment Reports with clear ownership assigned for remed...