Jr Regulatory Compliance Analyst

Overview

Provide day-to-day support to the Toronto and North America compliance teams by maintaining Legal Entity Identifier (LEI) registrations for North American customers, working Toronto business hours from Chennai.

What you'll do

• Monitor the assigned LEI case queue daily and prioritize cases in line with agreed service levels, procedures and business urgency.
• Action LEI registration, renewal, transfer and record update cases for customers located in North America.
• Review customer records, system information and supporting documents to confirm required LEI details, including legal name, registered address, entity status and other registration data.
• Identify missing, outdated or unclear information and follow up with the business or relevant internal teams to obtain the documentation needed to progress the case.
• Communicate clearly with North America stakeholders on case status, information requirements, blockers and expected next steps.
• Maintain accurate trackers, working files and evidence of actions taken so that case history and audit trail requirements are met.
• Escalate exceptions, data discrepancies, overdue items or matters requiring interpretation to the Compliance Director or regional compliance team.
• Prepare routine reporting and metrics on queue volumes, ageing, completed actions, pending documentation and escalated matters.
• Support process improvements, procedure updates and additional regulatory support activities assigned to the Chennai team.

What you'll need

• Bachelor's degree in Law, Commerce, Accounting, Finance, Business Administration, Economics or a related discipline.
• 2 to 5 years of experience in regulatory compliance, operations, case management, AML compliance, internal audit, risk management or financial services.
• Comfortable working North America shift hours from Chennai.
• Able to follow documented procedures, manage a queue of time-sensitive cases and ask for clarification where evidence or requirements are not clear.
• Strong attention to detail and ability to review legal entity information and documentation carefully.
• Practical understanding of compliance reviews, control checks, customer record maintenance or similar review-based processes.
• Basic understanding of Legal Entity Identifiers, including the purpose of an LEI and the general process for creating, renewing, updating and transferring LEIs.
• Good written and verbal communication skills, especially for stakeholder follow-ups, documentation requests and exception summaries.
• Working knowledge of Microsoft Excel, including filters, lookups, reconciliations and basic reporting.
• Ability to manage daily tasks independently, keep stakeholders updated on progress and escalate blockers in a timely manner.
• Comfortable working with global teams and adjusting to different regional priorities and deadlines.

Nice to have

• Experience in banking, fintech, payments, foreign exchange or other financial services roles.
• Prior exposure to LEI processes.

Details

• Location: Chennai, India.
• Working hours: Toronto business hours / North America shift (5:30 pm to 2:30 am IST).
• Reports to: Regulatory Compliance Director.
• Department: Regulatory Compliance.