At a glance
- Experience
- 2+ years experience
- Location
- India - Bengaluru
About Capco
- “Capco, a Wipro company, is a global technology and management consulting firm. Awarded with Consultancy of the year in the British Bank Award and has been ranked Top 100 Best Companies for Women in India 2022 by Avtar & Seramount. With our presence across 32 cities across globe, we support 100+ clients across banking, financial and Energy sectors. We are recognized for our deep transformation execution and delivery.
About the role
- The Regulatory Assurance Analyst ensures that the organization adheres to relevant regulations, industry standards, and internal policies, focusing on safeguarding client assets and maintaining robust operational controls.
- The analyst will conduct reviews, monitor regulatory changes, and assist in the implementation of compliance frameworks to mitigate risk and ensure regulatory alignment.
Responsibilities
- 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/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.
Requirements
- 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.
Preferred qualifications
- 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.
