Compliance Specialist

Dear Applicants, Job responsibilities : • Possess expertise in key areas of Capital Markets and Asset Management, such as Investment Compliance, Trade and Market Surveillance, Conduct Risk, Security Operations, and Wealth Management Operations. • Knowledgeable about U.S. and International Banking or Capital Markets regulations (e.g., SEC, FINRA, DOL, FCA, CFTC, EBA). • Understand financial products across asset classes, including Equities, Fixed Income, Currency, and Derivatives. • Collaborate with subject matter experts in risk management to assess capability gaps, design future states, and outline implementation strategies. • Lead large transformation/implementation projects, including requirement gathering, data analysis, and gap analysis, converting business requirements into functional specifications, and coordinating testing. • Support the implementation of complex regulatory initiatives (e.g., Basel IV, CCAR, FRTB, CECL, Libor transition) by drafting position papers, business and functional requirements, test plans, and user guides. • Conduct capital and liquidity assessments and support capital optimization programs. • Validate capital plans, resolution plans, and QIS submissions. • Develop risk registers, conduct RCSAs, define KRIs, and manage risk scenario libraries and analyses. • Establish/review processes, controls, and technology infrastructure for regulatory report production/attestation (e.g., FR-Y14A/Q/M, FR-Y9C, FFIEC 101, COREP, FINREP, FR2052a, LCR, NSFR). • Understand risk regulatory frameworks of major economies (e.g., US, EU) and principles such as Basel II/III, Dodd Frank, ICAAP, MIFID II, IFRS9, PSD2. • Manage program management offices for large change management initiatives. • Optimize AML & KYC processes, focus on Fraud Risk Management, Compliance Analytics, Enterprise Risk Management, Data Analysis & Aggregation, Trade Surveillance, and Robotic Process Automation. • Support pursuits and market-facing eminence efforts. • Engage in stakeholder management and problem-solving with strong communication skills. Required skills • 4-8 years of experience in any/all the above areas is preferred: • Working for financial services consulting firm, a large bank, or broker-dealer • Working for the U.S. or International Banking or Capital Markets Regulator (e.g. SEC, CFTC, EBA, FCA etc.)• Exposure to working in globally distributed workforce environment including onshore and offshore. • Excellent communication and interpersonal skills to discuss requirements and their solutions with Front office users such as PM and Traders Qualification • Master’s degree in Finance/ Master of Business Administration (MBA)• Bachelor’s degree in Engineering, or other related technical discipline • FRM and/or CFA certification preferred