348 Regulatory Reporting Jobs - Page 5

Hiring: Market Registration & Entity KYC Investment Management Operations (Mumbai, Hybrid) We are looking for an investment operations professional with 4-7 years of experience to join our team. Location : Mumbai (Hybrid) | Laptop Provided for WFH Notice Period : Immediate to 30days | Interview Mode : 1 Virtual, 1 In-Person | Timings: 1:30pm 10:30pm Apply now to saikeertana@twsol.com Key Responsibilities: Oversee market opening & renewal for global jurisdictions (India, Indonesia, Egypt, Slovenia). Collaborate with investment teams, custodians, and compliance for seamless market entry. Track SEBI & global regulatory updates and ensure timely communication. Manage KYC documentation and counterparty requests. Must-Have Skills: Strong knowledge of investment operations (mutual funds). Project management & stakeholder coordination expertise. Ability to multitask and work with multiple teams. Good-to-Have: Experience with SEBI regulations & global market documentation.

This position supports Optum Technology Accounting team and would require the candidate to consolidate, analyze and ensure key finance and non finance data originating from multiple source platforms/teams is captured accurately and consistently and thereby ensuring data integrity. Works closely with the business to develop, recommend and establish strategies, plans, and processes to improve profitability and cost efficiencies. This role also requires the candidate to support efforts towards streamlining the input data and thereby contribute in improving accuracy. Primary Responsibilities: Own primary responsibility for the accuracy and completeness of deliverables assigned The prime focus of this role is to collaborate with our internal business partners on Infrastruture Chargebacks and perform general accounting on timely manner Perform ad hoc reporting and analysis and investigate issues along with well documented commentary and action plan Prepare and analyze general ledger account reconciliations. Resolve reconciling items in a timely manner Maintain general ledger accounts and related activities for the production of financial statements and reports Reconcile, analyze and review general ledger accounts in preparation for month end close cycles Prepare journal entries and review accounting classifications, in accordance with generally-accepted accounting principles Assist with or lead the month-end and quarter-end close process Prepares monthly balance sheet reconciliations (Blackline) and identifies and researches reconciling items Own primary responsibility for the fulfillment of audit (internal and external) requests, as needed Support the organizations sound internal control structure around U.S. GAAP, Sarbanes-Oxley and Model Audit Rule compliance (as applicable) Liaise with core business partners within the organization, including but not limited to Regulatory Reporting, FP&A, Legal, Compliance Collaborate with management with the identification and documentation of financial risks and opportunities impacting assigned accounting responsibilities Work toward being subject matter experts on various Optum Technology contract provisions Collaborate with management to adapt to and manage through contract amendments / renewals and the resulting accounting impacts Perform work in a both team-oriented and self-directed work environments and demonstrate ability to work with less structured, more complex issues Collaborate with team members on special projects, as needed Comply with the terms and conditions of the employment contract, company policies and procedures, and any and all directives (such as, but not limited to, transfer and/or re-assignment to different work locations, change in teams and/or work shifts, policies in regards to flexibility of work benefits and/or work environment, alternative work arrangements, and other decisions that may arise due to the changing business environment). The Company may adopt, vary or rescind these policies and directives in its absolute discretion and without any limitation (implied or otherwise) on its ability to do so Required Qualifications: B.Com/M.Com, MBA Finance, CA Inter, equivalent experience (5+years) CAs (4+ Years Post Qualification) 5+ years of professional accounting experience Experience working with general ledger / sub-ledger accounting applications Experience working with reporting tools like Hyperion and PeopleSoft General ledger Good understanding of U.S. GAAP Advance proficiency utilizing Microsoft Office Suite applications (Advanced Excel, Word, Powerpoint) Proven analytical skills and an eye for detail, Hands on exposure to varience analysis & Commentary Writing Proven excellent Written and verbal communication skills Proven ability to handle multiple tasks.

Industry :- BFSI Head Office Location :- Bangalore 1. Role Purpose Handling Reserve Bank of India (RBI) Compliances applicable to NBFC-Non-Deposit-Systematically Important (Middle Layer NBFC) & other compliances applicable to the Company. Key Accountabilities :- Ensuring compliance to RBI regulations applicable to NBFCs Develop and support implementation of company policies and regulations Design and monitor control systems to deal with violations of legal rules and internal policies Regularly assess the efficiency of control systems and recommend effective improvements Review and evaluate company procedures and reports to identify hidden risks or common issues Coordinate with different department managers to review all departmental compliance policies Perform periodic compliance audits on company procedures and processes Implement procedures to ensure compliance with regulations and advise internal departments on how to meet compliance requirements Lead employee training sessions on legal and compliance issues Assist in handling compliances under Companies Act / SEBI & e-filing Assist in organizing Board / Committee Meetings Handling any other compliances as may be applicable to the Company For more details or to apply for this opportunity, email your updated Resume or CV on nitish.o3hire@gmail.com

Join us as an Analyst Regulatory Reporting role, where to gather, analyze, and present risk data in a clear and concise manner to stakeholders across the organization, facilitating informed decision-making, risk mitigation, and regulatory compliance. At Barclays, we dont just anticipate the future - were creating it. To be successful in this role, you should have below skills: Internal Control Procedures. Regulatory Reporting. Regulatory Process. Basel 1, BASEL 2, BASEL 3 reporting/ Pillar I, Pillar II reporting. Corep Reporting, Regulatory control matrix, large exposure, Leverage Ratio. Some other highly valued skills may include below: Regulatory Compliance. Regulatory Techniques. You may be assessed on the key critical skills relevant for success in role, such as risk and controls, change and transformation, business acumen strategic thinking and digital and technology, as well as job-specific technical skills. This role is based in our Chennai and Noida office. Purpose of the role To identify, assess and mitigate prudential regulatory reporting risks, provide oversight on regulatory reporting, and maintenance of open communication with regulators to ensure that the banks activities and operations comply with all applicable laws, regulations, and internal control policies. Accountabilities Identification and assessment of prudential regulatory reporting risks arising from the banks activities, products, and services. Development and implementation of strategies to mitigate prudential regulatory reporting risks, ensuring compliance with all applicable laws, regulations, and internal control policies, and conduct regular compliance reviews and audits to identify and address potential compliance gaps or violations. Assessment of the effectiveness of the bank s internal control processes and governance framework, including addressing any weaknesses or gaps that could lead to regulatory reporting non-compliance, and implementation of measures to strengthen internal controls. Preparation and submission of regulatory reports to authorities, and provision of support to other departments in their preparation and review of regulatory reports. Analysis and presentation of regulatory data to provide insights into business performance, identify trends, and support decision-making. Development and implementation of training programmes to educate employees on regulatory requirements and compliance responsibilities. Communication and liaising with regulatory bodies, prompt responses to inquiries and provision of requested information, and representation of the bank in meetings with regulators. Management of the selection, implementation, and maintenance of regulatory reporting systems and software applications, including collaboration with IT colleagues to integrate regulatory reporting systems with other enterprise systems. Analyst Expectations To perform prescribed activities in a timely manner and to a high standard consistently driving continuous improvement. Requires in-depth technical knowledge and experience in their assigned area of expertise Thorough understanding of the underlying principles and concepts within the area of expertise They lead and supervise a team, guiding and supporting professional development, allocating work requirements and coordinating team resources. If the position has leadership responsibilities, People Leaders are expected to demonstrate a clear set of leadership behaviours to create an environment for colleagues to thrive and deliver to a consistently excellent standard. The four LEAD behaviours are: L - Listen and be authentic, E - Energise and inspire, A - Align across the enterprise, D - Develop others. OR for an individual contributor, they develop technical expertise in work area, acting as an advisor where appropriate. Will have an impact on the work of related teams within the area. Partner with other functions and business areas. Takes responsibility for end results of a team s operational processing and activities. Escalate breaches of policies / procedure appropriately. Take responsibility for embedding new policies/ procedures adopted due to risk mitigation. Advise and influence decision making within own area of expertise. Take ownership for managing risk and strengthening controls in relation to the work you own or contribute to. Deliver your work and areas of responsibility in line with relevant rules, regulation and codes of conduct. Maintain and continually build an understanding of how own sub-function integrates with function, alongside knowledge of the organisations products, services and processes within the function. Demonstrate understanding of how areas coordinate and contribute to the achievement of the objectives of the organisation sub-function. Make evaluative judgements based on the analysis of factual information, paying attention to detail. Resolve problems by identifying and selecting solutions through the application of acquired technical experience and will be guided by precedents. Guide and persuade team members and communicate complex / sensitive information. Act as contact point for stakeholders outside of the immediate function, while building a network of contacts outside team and external to the organisation.

Sumitomo Mitsui Banking Corporation Job Responsibilities Submission of Regulatory Returns under supervision of reporting manager Risk Based Supervision (ad-hoc regulatory query management and periodic submissions) Support in MIS creation/betterment Managing day to day tasks e.g. reconciliation/day end reports, circulation of daily reports etc. Coordinating with other departments for data requirements Maintenance of MIS for NPE Budget Preparation of data for ad-hoc requirements from RBI Preparation of agenda of meetings for updates to Management such as NPE, CRAR, Key regulatory guidelines Knowledge sharing Audit Management Support in implementation of key regulatory frameworks Review existing processes, policies for refinement. Motivate, train, and develop staff within agreed policies and practices to maintain an effective workplace capable of meeting its objectives. Maintaining strong risk management culture (a) Knowledge (b) Skills (c) Experience (d) Qualifications Experience – Minimum 7-10 years in RBI Reporting/Accounting & Finance/Audit Management/dealing with RBI. Thorough awareness of key RBI Directions. Special Skills Required – CA/MBA/Graduate The role is aimed to independently and efficiently manage various tasks such as complex regulatory reporting (e.g., CRAR, LEF, DSB Returns, Statutory Returns, CRILC etc.), dealing with regulatory authorities (e.g. query management and submission under Risk Based Supervision), project management (e.g. CRAR automation, NPA project etc.). This position is also expected to have better coordination/networking with external stakeholders (RBI) and good communication and analytical skills to help internal stakeholder with key inputs and thereby supporting decision making. The profile involves recurring interaction with internal stakeholder and externally with the regulator, with priority to act not only as a team contributor but also in leading team, under the supervision of senior colleagues. The position is also expected to represent FAD in Mumbai Branch for smooth coordination with local staff, query management etc.

Business Analyst Capital Markets & Investment Banking Role Summary We are looking for a detail-oriented Business Analyst to support front-to-back change initiatives across capital markets. The role focuses on gathering and translating business requirements, supporting regulatory and operational change, and collaborating with stakeholders to deliver effective solutions. Key Responsibilities: Gather, document, and validate business and functional requirements. Conduct gap analysis, process mapping, and solution design. Translate business needs into user stories and functional specifications. Collaborate with stakeholders across Front Office, Operations, Risk, and Technology. Support testing strategy, including UAT planning and defect triage. Contribute to regulatory reporting, trade lifecycle optimization, and control enhancements. Document current and target state processes and support change adoption. Required Skills & Preferred Experience: Strong domain knowledge in capital markets or financial markets. Experience in business analysis within investment banking. Familiarity with regulatory frameworks (e.g., EMIR, MiFID II, SFTR, SEC, CFTC, Basel III). Product knowledge across Equities, Derivatives, FX, EM, and Treasury. Understanding of legal agreements (GMRA, GSLA, ISDA) is advantageous. Proficiency in tools such as JIRA, Confluence, Visio, and Excel. Strong communication and stakeholder engagement skills. Desirable Technical Skills: SQL, Python, or Alteryx for data analysis Power BI or Tableau for reporting Familiarity with systems like Murex, SOPHIS, or SUMMIT Certifications (Preferred): Agile, PRINCE2, SCRUM, or Lean Six Sigma

- Provide support in regulatory reporting and documentation. - Assist in developing and delivering compliance training programs for employees. - Collaborate with different departments to ensure compliance with anti-money laundering (AML), Know Your client.

BASIC QUALIFICATIONS Bachelor s degree required Minimum 4 years work experience in the Financial Industry Proficient in the use of MS Office products Analytical thinker with the ability to generate innovative ideas and translate strategy to execution Strong data analysis skills with a working knowledge of databases Problem solving and documentation skills with an ability to understand complex workflows Candidate must be proactive, enthusiastic and team oriented Accuracy and attention to detail Strong written and verbal communication skills Proven ability to organize and prioritize workload and drive results. Ability to learn quickly and adapt to new changes and new challenges Working knowledge of financial products, e.g. Equities, Fixed Income, Exchange Traded OTC Derivatives Previous exposure to regulatory reporting Basic knowledge of SQL Knowledgeable about securities processing, corporate actions, and asset servicing a plus

Job Title: IT Regulatory Reporting Governance Coordinator Corporate Title: AVP Role Description The IT Regulatory Reporting Governance team provides an essential 24x7 service to manage IT regulatory reportable events related to IT incidents. The team is responsible for coordinating with IT stakeholders to assess, classify and ensure timely and accurate reporting to regulators. The team operates with a high level of expertise and coordination to manage the complex regulatory landscape effectively. A significant portion of the team's work involves ensuring compliance with the European Supervisory Authority (ESA) Digital Operational Readiness Act (DORA), which sets a new standard for regulatory reporting. However, the team's scope extends beyond DORA to include support for additional regulatory requirements including but not exhaustive of MAS, FSS, US Regulators, US Fed, FSA, HKMA. The IT Regulatory Reporting Governance Coordinator will play a vital role in supporting the operational execution of the IT Regulatory Reporting process. This position involves assessing and classifying incident data to identify events that may require regulatory reporting, as well as preparing and submitting accurate regulatory reports. Additionally, the role includes providing oversight and conducting four-eye checks to ensure the accuracy and completeness of these reports. The IT Regulatory Reporting Governance Coordinator will also be responsible for identifying potential service improvements and associated risks, contributing to the overall efficiency and effectiveness of the reporting process. This role is integral to ensuring Deutsche Bank meets its regulatory obligations efficiently and effectively, while also supporting continuous improvement and risk management within the regulatory reporting process. Your key responsibilities Executing the regulatory reporting process in adherence with all Deutsche Bank charters, policies, key operating procedures, and key operating documents. Performing initial assessment and classification of data to support the identification of potential regulatory reportable events and preparing draft reports. Preparation and responsibility for the submission of accurate regulatory reports to the Regulator. Oversight/Four-eye checks to ensure the accuracy and completeness of regulatory reports. Identifying risks related to regulatory compliance, support processes and controls, ensuring escalation where required. Contributing to Continual Service Improvements. Undertaking reporting activities to support monthly service reports. Participating in OnCall/Weekend/Bank Holiday working where required. Your skills and experience Essential - Excellent communication skills, both written and verbal. Essential - Effective team collaboration and interpersonal skills. Essential - Ability to work well under pressure and meet tight deadlines. Essential - Demonstrable experience in financial reporting, preferably within a regulated industry. Essential - Ability to extract and analyse data with attention to detail to identify if Regulatory Reporting triggers have been reached. Essential - An ability to navigate ambiguity Desired People Management experience. Desired - An understanding of Incident & Problem Management processes. Desired - Awareness of IT regulations applicable to financial institutions.

Job Title: Regulatory Reporting Associate Role Description Regulatory Reporting is responsible for establishing and maintaining control frameworks designed to manage regulatory - monitoring, surveillance, compliance, transaction monitoring and screening. As a Regulatory Reporting team member, you will be responsible for managing daily reporting tasks and remediation activities. Your key responsibilities Participate in change and BAU activities. Perform daily reviews of exceptions within the SLAs. Ensure accurate investigation and timely escalations. Identify opportunities to create efficiency in the current process. Liaise with internal stakeholders for issue resolutions Participate in new system implementation and projects Review and update KOPs, SOPs etc. Keep track and maintain issue Jiras Prepare daily, weekly, and monthly MI. Your skills and experience Understanding of Transaction Reporting, Post Trade Reporting and Regulatory reporting framework Knowledge of Non-Financial Regulations. EMIR Refit & MiFID is a priority. Knowledge of Jira application Knowledge of Derivatives products Business Intelligence Skills (good to have) Alteryx, Tableau, SQL etc. Need to be aware and have and understanding of market, financial institutions, operations errors and risks. Must exhibit strong partnership skills. Team player, highly motivated, problem solver Inquisitive and analytical Strong communication skills Bachelors degree

AML Transaction Monitoring Lead Job Locations IN-KA-Bengaluru Requisition ID Category (Portal Searching) Compliance Position Type (Portal Searching) Experienced Professional Overview Connecting clients to markets and talent to opportunity With 4,300 employees and over 400,000 retail and institutional clients from more than 80 offices spread across five continents, we re a Fortune-100, Nasdaq-listed provider, connecting clients to the global markets focusing on innovation, human connection, and providing world-class products and services to all types of investors. At StoneX, we offer you the opportunity to be part of an institutional-grade financial services network that connects companies, organizations, and investors to the global markets ecosystem. As a team member, youll benefit from our unique blend of digital platforms, comprehensive clearing and execution services, personalized high-touch support, and deep industry expertise. Elevate your career with us and make a significant impact in the world of global finance. Responsibilities Position Purpose: The primary purpose of the role is to ensure the robustness and effectiveness of the transaction monitoring process within STONEX. The role plays a critical role in safeguarding the integrity of STONEX s financial operations and mitigating potential risks to the business and its stakeholders. General Duties Regulatory Compliance: Stay up to date with relevant regulations, guidelines, and best practices related to transaction monitoring, such as Anti-Money Laundering (AML), Counter-Terrorist Financing (CTF), and Know Your Customer (KYC) requirements Risk Identification and Assessment: Analyse financial transactions to identify potential risks and patterns of money laundering, fraud, and other financial crimes, and assess the severity of these risks based on established criteria Alert Investigation: Review alerts generated by the transaction monitoring system, conduct in-depth investigations to determine the legitimacy of flagged transactions, and escalate suspicious activities to the Head of Transaction Monitoring Process Improvement: Continuously assess the transaction monitoring processes, procedures, and controls, and recommend enhancements Team Coaching and Mentorship: the ability to coach and mentor other team members effectively to ensure transaction monitoring reviews meet established standards through guidance and support. Training and Awareness: Develop and deliver training programs to educate associates on transaction monitoring regulatory obligations, emerging trends in financial crimes, transaction analysis, and alert investigations MI and KPI Reports: Prepare weekly and monthly MI and KPI reports for the Head of Transaction Monitoring and senior management Qualifications Knowledge and Experience Strong understanding of financial crime prevention requirements in regulated financial institutions Minimum 3 years of experience in transaction monitoring as a senior or SME Knowledge of regulatory reporting and regulatory operations Excellent critical thinking, with the ability to analyse situations and solve problems. Qualifications and Skills Bachelors degree in Business Management , Law, or other appropriate discipline Strong and efficient decision-making skills with the ability to use judgment and operate autonomously when required Effective planning, organisational, and time management skills Strong relationship-building and communication skills Exceptional proficiency in the English language is required for this role #LI-Hybrid #LI-SC1 Options Apply for this job online Apply Share Email this job to a friend Refer Sorry the Share function is not working properly at this moment. Please refresh the page and try again later. Share on your newsfeed

Must have handled large operations for domain Good understating in Transactional reconciliation Not looking for Balance-sheet reconciliation experience Should be strong in reconciliations architecture including core system, internal account (ledger) and external Experience in regulatory reporting processes, ideally involving testing or quality assurance of regulatory reports Exposure to reconciliation application tools (Accurate, Intellimatch) Product specific knowledge of transaction and other reporting operations Good people management skill and experience in analyzing and document Should have excellent communication skills

JD for finance advisory: Skills required: Sound technical knowledge and practical experience of Indian GAAP, Ind AS, IFRS and/or US GAAP Technical knowledge and practical experience of Fund accounting, Fund Financial reporting, Investment products accounting, Alternative investments, Capital markets and/or Fund operations and regulatory reporting Practical knowledge of finance function and financial reporting process Practical knowledge of the financial reporting compliance from a regulatory perspective Familiarity with Companies Act, SEBI and related regulatory requirements Possess strong domain knowledge, has strong accounting foundation skills Experience of financial reporting / accounting implications for M&A / group restructuring Experience of financial reporting and finance transformation projects would be an added advantage. . Chartered Accountant Responsibility End to end project management. Key activities include guiding the team on technical accounting / financial reporting matters, manage client relationships, monitor project progress and relevant operational / financial matters. Assist clients with respect to technical accounting matters, reporting and operational activities of funds under US GAAP/UK GAAP/IFRS. Application of IGAAP, Ind AS, IFRS and / or US GAAP or an equivalent GAAP on engagements - GAAP conversion and / or topical queries on technical accounting matters Financial reporting support (technical as well process related) services to clients Assist clients with respect to financial reporting requirements in connection with listing of securities Demonstrate in-depth technical capabilities and professional knowledge. Demonstrate ability to assimilate new knowledge Possess good business acumen. Remain current on new developments in advisory services capabilities and industry knowledge Work with stringent deadlines and deliver effectively and efficiently

Role & responsibilities: This position will be an integral part of the Regulatory Reporting Division. As a member of the Regulatory Team, the primary responsibility is to ensure the effective implementation and maintenance of internal control procedures for all reporting. The manager/leader is responsible for the design, implementation, and monitoring of the reporting system. This includes developing and maintaining processes as well as conducting 100% reconciliations to prevent any incorrect reporting, ensuring the accuracy of financial and collateral reporting, and complying with applicable laws and regulations. The candidate should have solid knowledge of stock broking frameworks in the financial services industry. Periodic reviews of processes will be conducted, including risk analysis, gap analysis, and operational risk assessments. Preparing risk indicator dashboards, ensuring regulatory assurance, exception reporting, and coordinating with internal and external stakeholders for smooth processing will also be part of this job. Identify potential risks and control gaps through assessments and data analysis. Design and implement controls to mitigate identified gaps and prevent financial losses. Monitor the effectiveness of reporting mitigation measures and recommend improvements as necessary. Develop and maintain the system, including norms, ensuring the accuracy of financial reporting and compliance with applicable laws and regulations. Collaborate with stakeholders to implement control-related initiatives and ensure accountability. Document findings, recommendations, and action plans arising from reviews. Maintain accurate records and logs for audits and regulatory examinations. Stay up-to-date with relevant laws, regulations, and industry standards affecting the financial services sector. Ensure compliance with internal policies as well as external regulatory requirements. Monitor the effectiveness of the internal system and make recommendations for improvement. Collaborate with cross-functional teams to streamline processes and improve operational efficiency. Identify opportunities to automate or optimize control procedures and enhance the accuracy and reliability of information. Prepare and present reports on the results of internal control assessments to management. Preferred Skills and Knowledge: Solid knowledge of stockbroking frameworks in the financial services industry. Experience in conducting risk assessments, internal audits, or compliance reviews. Familiarity with financial systems, processes, and regulatory requirements specific to the financial services sector. Strong analytical and problem-solving skills, with the ability to identify control deficiencies and recommend appropriate solutions. Excellent communication and interpersonal skills to effectively collaborate with stakeholders at all levels. Attention to detail, high ethical standards, and the ability to handle sensitive and confidential information. I) Generic Capabilities Vision and Strategic Orientation: Developing, communicating, and aligning others around the organization's vision and strategy for the future. Taking a long-term perspective on problems and opportunities and proposing innovative strategies that leverage the organization's competitive advantage. Planning and Organizing: Effectively managing time and resources to achieve short- and long-term goals, balancing detail orientation with speed of execution while planning and prioritizing. Teamwork: Leveraging individual and collective capabilities to work seamlessly. Sacrificing one's own agenda in the interest of the team/organization. Fostering a cooperative and collaborative work environment. Facilitating Change: Demonstrating flexibility and a willingness to embrace change. Proactively challenging the status quo and championing change management initiatives within the workplace. Communication Skills: Conveying ideas and opinions (both verbal and written) in a clear, concise, timely, and understandable manner. Listening, empathizing, and using the appropriate content, mode, and style of communication to suit the target audience. Creativity and Innovation: Demonstrating the ability to challenge the status quo, think outside the box, and come up with new, practical solutions. Fostering a climate that encourages creativity and innovation. Drive for Results: Maintaining a focused commitment to achieving results despite unanticipated obstacles. Setting challenging goals and standards of excellence for oneself and the team and continuously evaluating performance against these standards. Problem Solving and Decision Making: Identifying and resolving problems and making decisions in a timely manner after thorough analysis of all relevant sources and options, keeping in mind the current and future impact of these decisions on the company's objectives. Developing Self and Others: Valuing continuous learning by fostering a climate for the development of oneself and others based on the needs of the organization and the individual, while providing coaching support and feedback. II) Technical/Specialist Skills & Knowledge Expected For This Role Effective Communication Skills: Knowing when to speak, what to speak about, and how to speak. Writing & Presentation Skills: Proficient in email generation and note-making, with content that reflects an intelligent, creative, and well-read mind. Proficiency in MS Office: Demonstrating good hands-on skills in MS Office. Relevant Work Experience: A minimum of 5-6 years of experience in internal control handling in a reputable organization. III) Academic Qualification 1. A Graduate/Post Graduate2. Excellent Interpersonal and Communication Skills.

Paytm is India's leading mobile payments and financial services distribution company. Pioneer of the mobile QR payments revolution in India, Paytm builds technologies that help small businesses with payments and commerce. Paytm’s mission is to serve half a billion Indians and bring them to the mainstream economy with the help of technology. Role Revenue Assurance: Conducting regular reconciliations of transaction data from various sources (payment gateways, platforms, etc.). Identifying and investigating discrepancies in revenue streams. Implementing controls to prevent revenue leakage and fraud. Monitoring and analyzing transaction patterns to detect anomalies. Ensuring accurate billing and invoicing processes. Analysis of product wise income vs cost. Finance Operations: Managing daily financial operations, including payment processing and settlements. Supporting the month-end and year-end closing processes. Assisting with financial reporting and analysis. Ensuring compliance with relevant financial regulations (e.g., KYC, AML). Processing of commission and incentive payments. Reconciliations with partner banks, and aggregators. Risk Management: Identifying and mitigating financial risks associated with digital transactions. Implementing and maintaining internal controls. Supporting internal and external audits. Data Analysis and Reporting: Analyzing large datasets to identify trends and patterns. Preparing reports on revenue assurance and finance operations performance. Using financial software and data analysis tools (e.g., Excel, SQL, data visualization tools). Compliance: Keeping up to date on all regulatory changes that affect the fintech industry. Ensuring that the company is in compliance with all applicable laws and regulations. Timely regulatory reporting. : CA / Semi Qualified/ Graduate in Finance Minimum 5 years of experience in finance and controllership role Strong knowledge of Revenue Assurance, Accounting, financial analysis, MIS and reporting, Managing Auditors Proficiencyin ERP tools, specifically SAP Advanced Excel skills Perks and benefits: Why join us : 1. A collaborative output driven program that brings cohesiveness across businesses through technology 2. Improve the average revenue per use by increasing the cross-sell opportunities 3. A solid 360 feedbacks from your peer teams on your support of their goal 4. Respect, that is earned, not demanded from your peers and manager Compensation: If you are the right fit, we believe in creating wealth for you With enviable 500 mn+ registered users, 21 mn+ merchants and depth of data in our ecosystem, we are in a unique position to democratize credit for deserving consumers & merchants and we are committed to it. India’s largest digital lending story is brewing here. It’s your opportunity to be a part of the story!

Role Description Analyst will be part of Accounting Close work stream and will be responsible for Month end accounting and reporting process. The primary function of the role is processing of standard adjustments on the ledger, work on IFRS/ HGB & BASTA P&L & Balance Sheet, perform validation checks of financials in Business Consolidation statements, Balance Sheet substantiation & perform additional Financial Disclosures. Additionally participate in control initiatives & ensure accurate, timely and quality delivery of services provided within a risk-free controlled environment, to ensure Deutsche Banks overall client satisfaction. Your key responsibilities Head office reporting including P&L and BS and other disclosures (CAT I ,II & III and HGB ) IUC accounting & reporting including local & group level Management Reporting Board packs, country packs etc MRP & Reconciliations Other misc reporting FX reporting, Tax movement schedule etc Managing internal & external audit queries Validation checks and reconciliation of Financials in BCS system Statistical uploads and Disclosures in BCS Escalations & heads up of all flowback situations to Manager - Be Client/ Colleague/ Process/ Systems Preparing & submitting of Monthly, Quarterly, Yearly Forms within the Head Office governed deadline. Ensure 4 eye principle is carried out across all critical deliverables and processes Ensure Process check list / controls is followed diligently. Recognizing control weakness and driving through the appropriate changes Building and maintaining strong relationships with stakeholders Executing any other tasks delegated by Team manager Supporting on Global Projects Your skills and experience Relevant experience of 1-3 years Reporting Strong Accounting skills Good understanding of SAP System architecture, Strong PC skills including Microsoft Excel, Powerpoint Understanding of IFRS Soft Skills Ability to communicate effectively (oral & written) Strong analytical / business problem-solving skills Well organized & able to clearly present results of work Ability to manage own time Passion for change and confidence in own abilities Diligent, thorough, shows initiative and is proactive Team Player willingness to pick up any activity in the team on need basis , able to induct new joiners and support them. Education / Certification/ Skills Post-Graduation with 2+ years experience (Preferred)

The role is to perform a number of key functions that support and control the business in complying with a number regulatory requirements such as Markets in Financial Directive MiFID II. This role forms part of a team in Bangalore that supports Regulatory reporting across all asset classes: Rates, Credit, Commodities, Equities and Foreign Exchange. Key responsibilities include day to day exception management MIS Compilation and User Acceptance Testing (UAT). This role will also indulge in supporting in-house tech requirements in terms of building out reports, macros etc. Your key responsibilities Performing and/or managing various exception management functions across reporting for all asset classes, across multiple jurisdictions Ensure accurate, timely and completeness of reporting Working closely with our technology development teams to design system solutions, the aim to automate as much of the exceptions process as possible Liaising with internal and external teams to propose developments to the current architecture in order to ensure greater compliance with Regulatory requirements and drive improved STP processing of our reporting across all asset classes Perform root cause analysis or exceptions with investigation & appropriate escalation of any significant issues found through testing, rejection remediation or any other stream to senior management to ensure transparency exists in our controls Ability to build and maintain effective operational process and prioritise activities based on risk. Clear communication and escalation. Ability to recognize high risk situations and deal with them in a prompt manner. Documentation of BI deliverables. Support the design of data models, reports and visualizations to meet business needs Develop end-user reports and visualizations Your skills and experience 5-8years work experience within an Ops role within financial services. Graduate in Science/Technology/Engg./Mathematics. Regulatory experience (MIFIR, EMIR, Dodd Frank, Bank of England etc.) is preferred Preferable experience in Middle Office/Back Office, Reference Data and excellent in Trade Life Cycle (At least 2 asset Classes Equities, Credits, Rates, Foreign Exchange, Commodities) Ability to work independently, as well as in a team environment Clear and concise communication and escalation. Ability to recognise high risk situations and deal with them in a prompt manner. Ability to identify and prioritize multiple tasks that have potential operational risk and p/l impact in an often high-pressure environment Experience in data analysis with intermediate/advanced Microsoft Office Suite skills including VBA. Experience in building reports and BI analysis with tools such as SAP Business Objects, Tableau, QlikView etc. Advanced SQL Experience is preferred.

Role Description Regulatory & Cross Product Operations (RCPO) is a division which assists in ensuring Deutsche Bank sends all reportable messages in the timeframes required whilst submitting trade information which correctly reflects that which was executed and is present in DBs books and records. As part of the Innovation team, we are responsible for ensuring that the data and process automation needs of the wider department are met. This includes the creation of automation tools to enable; metrics for management oversight, control reporting and utilities to enable self-service analysis and extraction. Due to evolving regulatory landscape, with increasing number of regulatory obligations as well as revised technical standard and the volume of reporting exceeding millions of records each day, there is a continued need to facilitate change. To enable this the team is responsible for building a new Business Intelligence platform utilising SAP BO as well as expanding and supporting our collection of automations within the Microsoft Office and Microsoft Power Platforms. The successful candidate will develop great understanding of regulatory rules, systems and products, and build relationships across diverse groups. Your key responsibilities Support and develop automated solutions that support the Regulatory Cross Product Operations function. Working closely with our technology development teams to design system solutions, the aim to automate as much of the exceptions process as possible Develop a thorough understanding of the complexities in the data model/architecture to support the Regulatory Reporting Operations function. Establish positive working relationships with colleagues across global Operations and Technology teams Contribute to the development of SAP Business Objects universes, reports and visualizations to satisfy operational requirements. Build an understanding of our business in order to identify and address critical issues by providing data that is accurate, reliable, and ensures that information is easily available to users Your skills and experience Understanding of Transaction reporting and regulatory reporting framework Self-starter with the ability to work well both in a team and individually Ability to effectively maintain, coordinate, prioritize multiple tasks and projects Ability to share information, transfer knowledge and expertise to wider team members and management An analytical/logical mind set with a good approach to problem solving Expertise in building reports and BI analysis with tools such as SAP Business Objects, Tableau, QlikView etc. Experience in automation utilizing Microsoft Power Platform. Advanced SQL Experience in an oracle data warehouse environment. Knowledge of Jira and confluence. Knowledge of VBA, Alteryx, Power Automate and Power Apps beneficial. Comfortable working with remote global teams, e.g. Teams, Skype, Zoom.

Role Description We are seeking a detail-oriented Operations Analyst to handle the initial processing of annual and semi-annual financial reports. The role involves executing a series of tasks to ensure compliance, accuracy, and efficiency in report preparation, including layout management, regulatory checks for various fund types. The role is to perform several key functions that support and control the business in complying with several regulatory requirements Perform initial processing of annual and semi-annual reports using QuarkXPress, along with other regulatory reporting BAU activities ensuring high-quality layout and formatting. Conduct IP-control checks and manage CMS (Content Management System) processing to ensure data integrity and system compliance. Support the preparation and review of TER/KIID documents, ensuring adherence to regulatory standards. Complete and maintain various checklists, pre-checks, cover sheets, and tracking lists to ensure all tasks are documented and executed accurately. Maintain accurate and detailed documentation for all process-related activities, including special requirements and deviations. Perform pre-checks to identify and resolve discrepancies in layout, data, or compliance before final submission. Ensure 4 eye principal is being followed in the team. Work closely with internal teams to coordinate report preparation, resolve issues, and meet deadlines. Escalate all issues in time, to the appropriate level, to avoid any adverse impact on the business. Work closely with internal teams to coordinate report preparation, resolve issues, and meet deadlines. Assist manager in reviewing process changes or optimization and update the procedures. Ensure teamwork culture is practiced. Ensure proper back-ups created and assist other teams during contingencies (Staff shortage, high volumes etc.) Your key responsibilities To ensure processes are performed as per defined Key Operating Processes. (KOP). The Operation Analyst will be responsible for completion of day-to-day activity as per standards and ensure accurate and timely delivery of assigned production duties. You needs to ensure team adherence to all cut-off times/deadlines and quality of processing as maintained in SLAs. You should ensure that all queries/first-level escalations related to routine activities are responded to within the period specified. Needs to conduct checks and maintain documentation to ensure that there are sufficient records for future reference. Should take responsibility and act as backup for the team colleagues in their absence and share best practices with the team. To escalates unusual activity (new client activity, slow systems, delayed approvals, deviations form KOP). Awareness of risks attached to the processes and escalation of potential risks to the bank to Team Manager. To communicate with the stakeholders to share any process specific updates or to escalate any issues. Stay updated on basic regulatory requirements and changes with support from training provided by organization. Your skills and experience Basic understanding of Asset Management, Regulatory Reporting, financial reporting processes. Should have 0-3 years of experience. (Regulatory reporting experience would be beneficial). Knowledge on usage of applications/ tools like Aladdin, Bloomberg etc. Good communication (verbal & written) and interpersonal skills. Willingness to take on responsibility, priorities work and mange time effectively and learn new tasks. Strong attention to detail and ability to manage multiple checklists and tasks. Sound desktop PC skills including Microsoft Office. Excellent organizational and documentation skills. Basic German Language knowledge would be beneficial. Ability to work under tight deadlines and ensure compliance with regulatory standards. Team-playing skills and flexibility in working hours.

Role Description The role is to perform a number of key functions that support and control the business in complying with a number regulatory requirements such as MiFID II, EMIR, CFTC and SFTR . This role forms part of a team in Bangalore that supports Regulatory reporting across all asset classes: Rates, Credit, Commodities, Equities, Loans and Foreign Exchange. Key responsibilities include day to day exception management MIS Compilation and User Acceptance Testing (UAT). This role will also indulge in supporting in-house tech requirements in terms of building out reports, macros etc. Your key responsibilities Performing and/or managing various exception management functions across reporting for all asset classes, across multiple jurisdictions Ensure accurate, timely and completeness of reporting Working closely with our technology development teams to design system solutions, the aim to automate as much of the exceptions process as possible Liaising with internal and external teams to propose developments to the current architecture in order to ensure greater compliance with Regulatory requirements and drive improved STP processing of our reporting across all asset classes Perform root cause analysis or exceptions with investigation & appropriate escalation of any significant issues found through testing, rejection remediation or any other stream to senior management to ensure transparency exists in our controls Ability to build and maintain effective operational process and prioritise activities based on risk. Clear communication and escalation. Ability to recognize high risk situations and deal with them in a prompt manner. Documentation of BI deliverables. Support the design of data models, reports and visualizations to meet business needs Develop end-user reports and visualizations Your skills and experience 3-5years work experience within an Ops role within financial services. Graduate in Science/ Technology/ Engg./ Mathematics. Regulatory experience (MIFIR, EMIR, Dodd Frank, Bank of England etc.) is preferred Preferable experience in Middle Office/Back Office, Reference Data and excellent in Trade Life Cycle (At least 2 asset Classes Equities, Credits, Rates, Foreign Exchange, Commodities) Ability to work independently, as well as in a team environment Clear and concise communication and escalation. Ability to recognise high risk situations and deal with them in a prompt manner. Ability to identify and prioritize multiple tasks that have potential operational risk and p/l impact in an often high-pressure environment Experience in data analysis with intermediate/advanced Microsoft Office Suite skills including VBA. Experience in building reports and BI analysis with tools such as SAP Business Objects, Tableau, QlikView etc. Advanced SQL Experience is preferred.

The role is to perform a number of key functions that support and control the business in complying with a number regulatory requirements such as Markets in Financial Directive MiFID II. This role forms part of a team in Bangalore that supports Regulatory reporting across all asset classes: Rates, Credit, Commodities, Equities and Foreign Exchange. Key responsibilities include day to day exception management MIS Compilation and User Acceptance Testing (UAT). This role will also indulge in supporting in-house tech requirements in terms of building out reports, macros etc. Your key responsibilities Performing and/or managing various exception management functions across reporting for all asset classes, across multiple jurisdictions Ensure accurate, timely and completeness of reporting Working closely with our technology development teams to design system solutions, the aim to automate as much of the exceptions process as possible Liaising with internal and external teams to propose developments to the current architecture in order to ensure greater compliance with Regulatory requirements and drive improved STP processing of our reporting across all asset classes Perform root cause analysis or exceptions with investigation & appropriate escalation of any significant issues found through testing, rejection remediation or any other stream to senior management to ensure transparency exists in our controls Ability to build and maintain effective operational process and prioritise activities based on risk. Clear communication and escalation. Ability to recognize high risk situations and deal with them in a prompt manner. Documentation of BI deliverables. Support the design of data models, reports and visualizations to meet business needs Develop end-user reports and visualizations Your skills and experience 2-5 years work experience within an Ops role within financial services. Graduate in Science/Technology/Engg./Mathematics. Regulatory experience (MIFIR, EMIR, Dodd Frank, Bank of England etc.) is preferred Preferable experience in Middle Office/Back Office, Reference Data and excellent in Trade Life Cycle (At least 2 asset Classes Equities, Credits, Rates, Foreign Exchange, Commodities) Ability to work independently, as well as in a team environment Clear and concise communication and escalation. Ability to recognise high risk situations and deal with them in a prompt manner. Ability to identify and prioritize multiple tasks that have potential operational risk and p/l impact in an often high-pressure environment Experience in data analysis with intermediate/advanced Microsoft Office Suite skills including VBA. Experience in building reports and BI analysis with tools such as SAP Business Objects, Tableau, QlikView etc. Advanced SQL Experience is preferred.

We are seeking a highly skilled Financial Crime & Compliance Analyst to strengthen our fraud detection and anti-money laundering (AML) monitoring capabilities. The ideal candidate will have expertise in identifying suspicious transaction patterns, analyzing typologies, and ensuring compliance with regulatory requirements, including CTR (Currency Transaction Reports), OFAC (Office of Foreign Assets Control), and PEP (Politically Exposed Persons) screening . This role requires strong analytical skills and an ability to assess risk effectively while working within compliance frameworks. Key Responsibilities: Identify suspicious transaction patterns and assess them against regulatory reporting thresholds. Conduct investigations into potential money laundering (ML), structuring, and identity theft cases. Perform adverse media searches to identify risks associated with high-risk individuals and entities. Ensure compliance with OFAC sanctions lists and flag any potential violations. Review and escalate cases involving Politically Exposed Persons (PEPs) with a focus on risk assessment and due diligence. Monitor for Currency Transaction Reporting (CTR) violations and structuring activities. Apply knowledge of financial crime typologies to real-world cases and escalate issues as needed. Assist in enhancing fraud detection models and improving transaction monitoring processes. Collaborate with compliance teams to ensure adherence to AML and financial crime prevention policies. Required Skills & Experience: Strong understanding of AML compliance, suspicious activity detection, and transaction monitoring . Experience in identifying fraud red flags such as identity theft, synthetic identities, and unusual transaction behaviors. Knowledge of AML regulations , including OFAC, PEP screening, and CTR reporting requirements . Ability to analyze financial crime typologies and apply them to real-world cases. Strong research and investigative skills with experience in adverse media search and customer risk profiling. Excellent written and verbal communication skills to document findings effectively. Preferred Qualifications: Prior experience in banking, financial services, or a regulatory compliance role . Certification in AML (e.g., CAMS, CFE, or equivalent) is a plus. Experience working with fraud detection tools, transaction monitoring systems, and case management platforms .

Position Overview: We are seeking a highly skilled Enhanced Due Diligence (EDD) Specialist to join our compliance team. The EDD Specialist will be responsible for implementing and managing additional measures to monitor and mitigate risks associated with high-risk customers and transactions. This role is crucial for ensuring compliance with anti-money laundering (AML) and counter-terrorist financing (CTF) regulations. Key Responsibilities: Conduct extensive verification of the identity, ownership structure, and business activities of high-risk customers. Perform detailed examinations of the source and legitimacy of funds. Monitor transactions and business relationships frequently to identify and mitigate potential risks. Execute additional checks on politically exposed persons (PEPs) and their associates. Investigate adverse media coverage and assess reputational risks. Review regulatory compliance history and legal issues of high-risk customers. Collaborate with other compliance team members to ensure comprehensive risk management. Prepare detailed reports and documentation for regulatory and internal audits. Qualifications: Bachelor's degree in finance, Business, Law, or a related field. Proven experience in AML, CTF, or compliance roles, with a focus on EDD. Strong analytical and investigative skills. Excellent attention to detail and ability to handle complex information. Familiarity with regulatory requirements and industry best practices. Effective communication and interpersonal skills. Ability to work independently and as part of a team. Preferred Skills: Certification in AML or compliance (e.g., CAMS, CFE). Experience with compliance software and tools. Knowledge of global regulatory frameworks and standards.

About The Role Dealer GIFT City Branch Department BMU Location Gandhinagar Number of Positions 01 Reporting Relationships VP GIFT City Position Grade M5 / M6 Kotak Mahindra Bank Gift City Branch is the International Financial Services Center Banking Unit [IBU] set up in Gujarat International Finance Tec - (GIFT) City. It deals with non-individual entities across the globe for their funding (Non INR) requirements; extending ECBs to Indian corporates, Trade and other transaction banking products. The Treasury function at KMB GIFT City is responsible for balancing and managing the daily cash flow and liquidity of funds for the Kotak GIFT City , and ensures that all parts of the associated areas of the bank can readily access the cash they need for their business activities. The function also involves handling the bank'sinvestments in securities, foreign exchange, asset/liability management and cash. JOB DESCRIPTION Liquidity Management Manage overnight liquidity; NOSTRO management Borrowing/lending from Interbank Counterparties Monitoring/Assessment of cashflows from various sources Strategize medium/long term liquidity; Liquidity Gap & Ratios management within Regulatory requirements Borrowing/lending from Interbank Counterparties Markets Management Understanding Markets/Products Investment Book Management Purchase/Sale of bonds for yield pickup Valuation & Risk management FX Management FX Swaps/Spot/Forwards/CIRS etc Valuation and Risk Management [NOOP/AGL/IGL/etc] Counterparty Management Liaise with Banks for Trade/Money Market/Bilat Loans/Bonds and products/instruments Internal Stakeholder Management Key Team-member to liaise with internal stakeholders ALCO/HO Treasury/Finance/Risk/Business units/Treasury Operations/IT/etc Asset pricing/Funding/Settlements/Risk Controls/MIS JOB REQUIREMENT Preferred 5-7 yrs of relevant experience in handling merchant / trading desk / bonds desk in treasury Knowledge of financial sector at large with strong knowledge of Trade-Forex will be preferred. Knowledge of RBI regulations around various banking product

About The Role We are looking for Team Member- Financial Inclusion Location Mumbai Grade M2/M3 Experience- 4-6 years About The Role : He/ She will be responsible for: Manage end to end Aadhaar Seva Kendra"™s (ASK) or Aadhaar Enrolment Centres or Aadhaar on Wheels( AOW) through Branch channel and Vendors. Ensuring profitability of ASK/AOW by driving cross sell and enrolment transactions Liaise with various teams / stake holders to improvise process and technological solutions Conducting Vendor audit, ensuring proper governance, periodic vendor reviews and ensuring compliance. Proper maintenance of documents and records. Conducting VendorAgreement reviews and closures Responsible for managing Internal/External Audit for the assigned domain. Vendor billing tracking, validation and ensuring timely payments Periodic review & updation of the product/process need to be ensured. Ensure timely submission of regulatory reporting / responses as necessary