Regulatory & Compliance Specialist - Financial Services (4-8 yrs)

Job Title: Regulatory and Compliance Specialist

Location: Hyderabad, Bangalore, Mumbai, Chennai, Pune, Gurugram, Noida and Kolkata.

Experience: 4-8 years

Key Responsibilities:

- Expertise in Capital Markets & Asset Management, including Investment Compliance, Trade Surveillance, and Wealth Management Operations.

- Knowledge of U.S. and International banking regulations (e.g., SEC, FINRA, FCA) and financial products (Equities, Fixed Income, Currency, Derivatives).

- Collaborate with risk management experts to identify gaps and design strategies.

- Lead regulatory initiatives (e.g., Basel IV, CCAR, FRTB) by drafting requirements, test plans, and user guides.

- Conduct capital and liquidity assessments and support capital optimization programs.

- Develop risk registers, conduct RCSAs, and manage key risk indicators (KRIs).

- Establish processes and controls for regulatory reporting (e.g., FR-Y14A, COREP).

Optimize AML & KYC processes and enhance Fraud Risk Management and Compliance Analytics.

Required Skills:

- 4-8 years of experience in regulatory compliance, risk management, or consulting in financial services.

- Familiarity with risk regulatory frameworks (Basel II/III, Dodd Frank, MIFID II, etc.).

- Experience working with financial institutions or regulators (e.g., SEC, CFTC, EBA).

- Strong communication and interpersonal skills, with the ability to engage with front-office users (PMs and Traders).

- Experience in managing change initiatives and working in globally distributed teams.

Qualifications:

- Master's degree in Finance or MBA preferred.

- Bachelor's degree in Engineering or a related field.

- FRM (Financial Risk Manager) and/or CFA (Chartered Financial Analyst) certification preferred.