As a part of Regulatory and Legal Support team, Incumbent will be helping clients to manage their enterprise-wide business, technology, financial, regulatory and legal risks and compliance on a sustained basis.
Your day-to-day activities will include
- Possess an understanding of the U.S. or International Banking and Securities industry
- Demonstrate knowledge of key regulatory and legal risks including, but not limited to, Counterparty Credit Risk, Market Risk, Operational Risk, and Liquidity Risk
- Understand risk mitigation techniques like design, implementation, and testing of controls based on COSO framework
- Familiar with Financial statements, Capital adequacy and Liquidity risk management reporting; US reports (like FR Y9C, FFIEC 101, FR Y14Q, FR Y14M etc.) or international reports framework (MiFID, EMIR, FINREP or COREP)
- Understanding of regulatory reporting technology infrastructure (like data sources; aggregation and reporting applications and processes; etc.)
- Familiar with development of business/functional requirements, technical specifications, data dictionaries, system and process workflows, etc.
- Demonstrate ability to work with subject matter experts in key areas of risk management to perform capability gap assessment, design target operating model and implementation strategy
- Showcase good project management skills and knowledge of MS Project or similar tools
- Demonstrate stakeholder management, problem solving, and strong verbal and written communication skills required to work directly with client
- Master s degree in Finance or Chartered Accountant preferred
- Bachelor s degree (Management Studies / Engineering / Commerce / Science) with relevant experience may also be considered
What Knowledge, Skills Experience We Need
Preferred Certification
Preferred:
- Handling a regulatory examination (like S166, MRA/MRIAs etc.) and related remediation
- Working for financial services consulting firm, a large bank, or broker-dealer