Regulatory Assurance Analyst

Overview

Regulatory Assurance Analyst in the Securities Services and Custody area, ensuring the organization adheres to relevant regulations, industry standards and internal policies while safeguarding client assets and maintaining robust operational controls.

What you'll do

• Track and interpret regulatory developments affecting securities services and custody, including local and international regulations (e.g., SEC, FCA, ESMA, CSDR).
• Conduct periodic assurance reviews of custody operations, transaction processing, asset safekeeping and client reporting to ensure compliance with regulatory requirements.
• Identify, assess and report on regulatory risks within securities services and custody, recommending mitigation strategies.
• Assist in the development and implementation of compliance policies, procedures and controls specific to custody and securities services.
• Prepare documentation and support internal and external audits and regulatory inspections, ensuring timely and accurate responses.
• Support the delivery of regulatory training and awareness programs for custody operations staff.
• Prepare regulatory assurance reports for management, highlighting findings, trends and recommendations.
• Liaise with internal stakeholders (compliance, legal, operations) and external parties (regulators, auditors) as required.
• Track and follow up on remediation actions arising from assurance reviews, audits or regulatory findings.

What you'll need

• Bachelor's degree in finance, business, law or a related field.
• 2+ years' experience in regulatory compliance, assurance or audit within financial services.
• 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.

Nice to have

• Experience in securities services or custody.
• 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.

Details

• Location: Bangalore only.