Regulatory Assurance Analyst
Full Job Posting
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.
About Capco
Global management and technology consultancy dedicated to the financial services and energy industries, operating as a Wipro company.
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