Regulatory Assurance Analyst

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Location: Bangalore Only

This role ensures that the organization adheres to relevant regulations, industry standards, and internal policies, focusing on safeguarding client assets and maintaining robust operational controls. The analyst will conduct reviews, monitor regulatory changes, and assist in the implementation of compliance frameworks to mitigate risk and ensure regulatory alignment.

Key Responsibilities:

• Regulatory Monitoring: Track and interpret regulatory developments affecting securities services and custody, including local and international regulations (e.g., SEC, FCA, ESMA, CSDR).

• Compliance Reviews: Conduct periodic assurance reviews of custody operations, transaction processing, asset safekeeping, and client reporting to ensure compliance with regulatory requirements.

• Risk Assessment: Identify, assess, and report on regulatory risks within securities services and custody, recommending mitigation strategies.

• Policy Implementation: Assist in the development and implementation of compliance policies, procedures, and controls specific to custody and securities services.

• Audit Support: Prepare documentation and support internal/external audits and regulatory inspections, ensuring timely and accurate responses. • Training & Awareness: Support the delivery of regulatory training and awareness programs for custody operations staff.

• Reporting: Prepare regulatory assurance reports for management, highlighting findings, trends, and recommendations. INTERNAL

• Stakeholder Engagement: Liaise with internal stakeholders (compliance, legal, operations) and external parties (regulators, auditors) as required.

• Issue Management: Track and follow up on remediation actions arising from assurance reviews, audits, or regulatory findings. Qualifications & Experience:

• Bachelor’s degree in finance, Business, Law, or related field.

• 2+ years’ experience in regulatory compliance, assurance, or audit within financial services, preferably securities services or custody.

• Strong knowledge of securities regulations, custody operations, and asset protection requirements.

• Experience with regulatory frameworks such as CSDR, MiFID II, SEC, FCA, or similar.

• Excellent analytical, communication, and report-writing skills.

• Ability to work independently and collaboratively in a fast-paced environment. Desirable Skills:

• Professional certifications (e.g., ICA, CISI, CAMS, or similar).

• Experience with compliance monitoring tools and risk management systems.

• Attention to detail and strong organizational skills.