10 Regulatory Risk Jobs

Key Skills: Risk And Control, Regulatory Reporting, Integration, Regulatory Compliance, Regulatory Risk, Risk Management, Capital Market, Market Risk, Asset Management, Informatica, Investment Banking. Roles and Responsibilities: Implement and embed the new cross-border controls framework across Asset Management (AM) globally. Act as the single point of contact for queries related to the framework and associated tools. Ensure local markets update their operating instruction manuals in accordance with the new framework. Serve as the global lead for the ongoing monitoring and oversight of cross-border controls, including the generation and delivery of global management information (MI). Support local AM entities in effectively implementing and embedding the framework. Identify, escalate, and resolve issues, including proposing viable solutions and monitoring technical enhancements and testing as needed. Ensure operational effectiveness of the controls process and maintain accuracy and quality in all deliverables. Produce timely and accurate MI for submission to relevant governance forums. Support the development and delivery of training content for the new framework and track completion by relevant staff. Act as the first point of contact for business units on cross-border regulatory matters and collaborate with Regulatory Compliance and Legal (2LOD teams) for accurate regulatory interpretations. Provide day-to-day user support for tools within the cross-border controls framework. Identify and support enhancements to tools in collaboration with IT and vendors. Coordinate with stakeholders across business, compliance, legal, and controls teams to ensure consistent understanding and implementation of the framework. Monitor and manage changes to the framework in response to identified issues. Ensure full adherence to risk, compliance, global standards, and FCC (Financial Crime Compliance) requirements. Support leadership and teamwork efforts to maintain HSBC Asset Management's reputation and efficiency through the GSC in Bangalore, contributing to client-centric service delivery. Experience Requirement: 8-12 years of experience in the finance industry, preferably within the Asset Management domain. 4-8 years of hands-on experience in risk and controls management, with a specific focus on cross-border regulations or regulatory compliance. Demonstrated experience working with Legal or Regulatory Compliance professionals in addressing business-related regulatory inquiries. Strong interpersonal and communication skills for effective cross-functional collaboration. Proven ability to manage multiple priorities in a fast-paced environment. High attention to detail with strong analytical skills to interpret complex information. Education: Any Post Graduation, Any Graduation.

Shift - US Shift Position Purpose The candidate would be Part of Derivative Execution and clearing team, working along with the DEC Market Fees Reconciliation and Brokerage team.The role would concentrate To clear and allocate exchange traded derivatives trade on behalf of the client. Ensure all top day trades are cleared and reconciled against cleaning house by the end of day. The role requires a high level of attention to detail, to ensure BNPP SAs external end client fees are validated and any required corrections or amendments are processed accurately and according to procedure. The candidate would be working with large volumes of trade data so should be comfortable using Excel to summarize, as well as to drill down and independently investigate any discrepancies that may arise. Work effectively with team members to accomplish common goals. Generate creative solutions to problems, Ability to plan work ahead and to prioritize workload in an organized manner. Undertake a variety of financial and non-financial tasks in order to help guarantee the companys revenues; handle the processing of incoming payments along with the issuing of necessary paperwork. Responsibilities Direct communication with CTFC regulators, compliance teams, auditors, FCM community, and global business partners Client on boarding and pre trade support Post trade execution clearing and allocation processing Key risk indicator and statistical capture, recording, and analysis of operational process and staff performance Trade reconciliations utilizing middleware and industry software Internal coordination with various departments during client on boarding Client and business inquiry research, investigation, and issue resolution Work with global risk teams on limit queries and trade support Lead and assist large scale projects to implement processes that comply with necessary changes, growth, and or new regulations and rules Account set-up review and implementation utilizing various operational systems Sales and marketing assistance in developing and presenting business offering Demonstrates a highly competent working knowledge of FCM operations involvement in the life cycle of execution and clearing activities Informational and instructional presentations New product and market on-boarding including identification of requirements Regulatory exam and audit coordination Ensure ample familiarity with our escalation procedures and raises issues to the appropriate contacts in a timely manner to ensure all are aware of potential risk while taking ownership of the issue and sees through to resolution Control monitoring Reviews processes and provides feedback for enhancement with additional responsibility for managing the enhancement for operations and seeing through to completion Minimum Required Qualifications Bachelor degree Supervisor - experience with exchange listed products, OTC Cleared derivatives, or capital markets trading, operations, execution, clearing, or trade process Staff - 2 or plus years of experience with exchange listed products, OTC Cleared derivatives, or capital markets trading, operations, execution, clearing, or trade process Experience managing and operational processes Experience interacting with exam teams and regulators Experience interacting with clients and various lines of business Working knowledge of FCM Clearing setups CCP mappings, exchange reporting suite Understanding of exchange listed derivatives trading and clearing workflows and related controls to alleviate regulatory risk US exchange product knowledge of trade life cycle Microsoft Excel (Vlookup, Pivot tables, formals, etc.), Outlook and Power Point Preferred Qualifications: Experience in specifics around on-boarding new clients 2+years of experience in clearing listed derivative products on multiple CCPs 2+ years of experience in FCM Clearing operations Experience giving live demonstrations presenting to small and large audiences Experience interacting with clients and various lines of business seeking solutions for enhancing client experience Experience in global markets operational systems Experience working with global lines of business to build and maintain partnerships Microsoft suite knowledge .

Reference 25000B5A Responsibilities Strong understanding of Capital markets, Investment banking domain and risk management Exposure to Credit risk computation and management of regulatory risk metrics is highly desired Ensure project requirements are delivered with acceptable quality and completed on time Ability to work autonomously on the Business analysis scope of work including requirements gathering, scope validation, drafting of functional specification, ensure business signoff on requirements Support the team on both delivery and production Ensure impediments are raised and addressed proactively in a timely fashion Build collaborative working style and good stakeholder connect with all stakeholders Experience in working on agile driven project implementations Contribute to users change management (on-line help, training) Functional Specifications, User Stories, Design and Solutioning Possess good presentation skills to articulate and build Point of View in global forums Possess effective reporting skills to keep stakeholders informed on project progress Required Profile required Business analyst with 6+ yrs of experience on Capital markets, Risk management Strong understanding of risk management on Credit risk Exposure to functional implementation of topics like Credit risk computation and management of regulatory risk metrics is highly desired Hands-on experience on documenting and building functional specifications, BDD based test strategies and test implementation Experience in working on agile driven project implementations Why join us We are committed to creating a diverse environment and are proud to be an equal opportunity employer All qualified applicants receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status Business insight At SocitGnrale, we are convinced that people are drivers of change, and that the world of tomorrow will be shaped by all their initiatives, from the smallest to the most ambitious Whether youre joining us for a period of months, years or your entire career, together we can have a positive impact on the future Creating, daring, innovating, and taking action are part of our DNA If you too want to be directly involved, grow in a stimulating and caring environment, feel useful on a daily basis and develop or strengthen your expertise, you will feel right at home with us! Still hesitating You should know that our employees can dedicate several days per year to solidarity actions during their working hours, including sponsoring people struggling with their orientation or professional integration, participating in the financial education of young apprentices, and sharing their skills with charities There are many ways to get involved, We are committed to support accelerating our Groups ESG strategy by implementing ESG principles in all our activities and policies They are translated in our business activity (ESG assessment, reporting, project management or IT activities), our work environment and in our responsible practices for environment protection, Diversity and Inclusion We are an equal opportunities employer and we are proud to make diversity a strength for our company Societe Generale is committed to recognizing and promoting all talents, regardless of their beliefs, age, disability, parental status, ethnic origin, nationality, gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination,

Ability to work as part of a global team as we'll as act as project lead on various compliance matters Familiar with the risk and compliance function of asset management Understanding the development and implementation of compliance programs Ability to deal with business personnel and deliver good compliance outcomes in time constrained situations RESPONSIBILITIES Provide Compliance support and representation on AWM strategic initiatives Review and approval of financial promotion materials Provide daily compliance surveillance of AWM portfolios for regulatory requirements and applicable policies and procedures Assistance in the production of board reports Participate in the review and evaluation of new instruments and vehicles to identify compliance issues and surveillance needs Develop and draft compliance policies and procedures, outlining firm policies, regulations and best practices Ensure breaches and complaints are logged and cover the compliance aspect of the sign off Create compliance training programs Compliance advisory regarding global asset management marketing and distribution questions: UCITS/Non-UCITS/cross border distribution Review and approval of due diligence on third party distributors Compliance advisory on new AWM fund launch projects Preparation, organization, and delivery of compliance trainings Miscellaneous projects as required QUALIFICATIONS 3 years regulatory risk or compliance experience (asset management experience preferred) Highly motivated risk and control focused individual with excellent judgment Knowledge of investment instruments including derivatives General compliance knowledge and familiarity with asset management regulations Effective analytical and organizational skills Strong verbal and written communication skills Ability to handle multiple tasks with attention to detail and work under pressure Ability to work both independently and as part of a team

Key Skills: Risk Management, Risk and Control, Regulatory Compliance, Regulatory Risk, Regulatory Reporting, Integration, Informatica, Capital Market, Asset Management, Investment Banking, Market Risk Roles & Responsibilities: Implementation and embedding of the new cross-border controls framework: Assist the roll-out of the new cross-border controls framework across AM. This will include ensuring local markets have updated their operating instruction manuals as appropriate, being the single point of contact to answer questions relating to the new framework and new tools that will be introduced as a part of implementation of the new framework. Cross-Border Controls Process SME and Ongoing Monitoring of Controls: Will be the Global lead to support ongoing monitoring and overseeing of cross border controls including the need to produce global MI. To support local AM entities to ensure that the new controls framework is embedded and implemented locally within their regions. To proactively identify and escalate issues and propose feasible solutions. In cases where system enhancements are required, the role holder should monitor the testing, development and implementation of technical solutions. As an SME of the process the role holder must be accountable for ensuring the controls process is operationally effective. Must ensure the process and deliverables meets accuracy and quality standards. To ensure timely production of MI required for submission to various governance forums as appropriate. Support the development/enhancement of cross border training content to be delivered to business post the cross-border framework roll out. To assist in tracking training completion status to ensure all staff who require training have completed the training appropriately. Regulatory & Compliance Knowledge (but not policy setting and interpretation of regulations): To be the first point of contact to help the business understand the cross-border regulations applicable to their client engagement activities. Work with 2LOD teams (e.g. Regulatory Compliance and/or Legal) as needed to ensure accurate and consistent interpretation and application of the regulations. The candidate is expected to have basic understanding of regulations related to cross-border business activities for financial institutions, in particular applicability to Asset Management business to help them meet this requirement. Technology: To be the SME and provide day-to-day user support to the business across the various tools that are involved in the cross-border controls framework. Identifying opportunities and supporting the ongoing management and enhancement to the tools. This will require working closely with IT and relevant vendors. Stakeholder Co-ordination and Communication. To support across functions to uplift and enhance their understand of the new controls framework and manage ongoing dialog around it. Where there are issues identified and requires changes to the existing framework the role holder must collaborate across functions i.e., Business, Compliance, Legal, Controls office to ensure alignment and implementation. Risk Management Adherence to Risk, Compliance, Global Standards and FCC requirements. Experience Requirements: 4-8 years of experience in Finance Industry, preferably within Asset Management industry. 2-4 years of experience in risks and controls management with a focus on cross border regulation or regulatory compliance. Experience working with Legal or Regulatory Compliance. professionals to respond to business inquiries or requests for information. Excellent communication and interpersonal skills to work effectively with different teams and stakeholders. Ability to work independently and manage multiple tasks in a fast-paced environment. Strong attention to detail and ability to analyze complex information. Qualifications: Bachelor's degree in BFSI,Finance, Accounting

Job Purpose: This role is responsible for the development and design of methodologies and standards for review activities across the products in alignment with Compliance Risk Framework. Testing, validation, and documentation of review activities for new and existing products and controls according to standards and other applicable policies. Overseeing the effective implementation of testing observations, tracking and closure of all compliance requirements by coordinating with respective functions. Owning projects and tracking, preparing Compliance dashboards for reviews and implement action points, building and maintaining healthy business relations with external and internal customers. Key Responsibilities Functional Responsibilities Outcome of Risk assessment Compliance control point shall be defined, and testing will be carried out. Planning and execution of Compliance testing. Establish and maintain comprehensive compliance testing programs to identify, assess, and highlight compliance risks. Monitor and test compliance by performing sufficient and representative Compliance testing and result of such compliance testing shall be reported to the Senior Management. Track Compliance testing observation open points, coordinate with respective team for implementation and track until closure of testing. Responsible for executing the proposed Compliance projects. Support the reporting manager on regulatory reporting. Support the reporting manager in handling / preparedness of RBI inspection like Co-ordinate with respective team, data collection, review the documents and Finalization of RBI datas, day to day RBI Correspondences, returns filing and circulation of Compliance MIS. Job Requirements Qualifications: CA / CMA /Any graduate Experience 2 - 5 Years relevant experience in Compliance / Internal audit / Internal Control from Banks / NBFC s / Consulting Functional Competencies Drive and initiative, strong commitment, ability to take ownership, Analytical acumen, eye for details, Smart thinkingHigh level of integrity, professionalism, and attention to detailExp in handling various projects Behavioral Competencies Strong Analytical, Interpersonal and Convincing skillsStrong communication and interpersonal skillsProblem solving and decision-making skillsPeople management and networking skills

Sr.Manager Compliance - L6, Target Plus (T+) About us: Target is an iconic brand, a Fortune 50 company, and one of America s leading retailers. Alongside Target s distinctive retail presence, our digital footprint is rapidly evolving to deliver a world-class online shopping experience. If you thrive in a fast-paced environment and are passionate about retail innovation, you ll find success in Target Plus , Target s curated third-party marketplace. Here, you ll collaborate to shape digital strategies that support scalable growth and drive operational excellence for our sellers and guests. You will play a critical role in ensuring adherence to all relevant regulatory requirements and product safety standards. This position involves close partnership with stakeholders across Legal, Compliance, Product Safety & Quality Assurance, Digital Operations, Data Analytics, Guest Services, and Product teams. Your work will focus on building proactive compliance frameworks, synthesizing complex regulations, and enabling business readiness through clear processes and strong cross-functional alignment. Key Responsibilities: Proactively monitor federal, state, and industry-specific regulations, bans, standards, and legislative developments impacting the marketplace. Analyze regulatory risk and assess its impact on Target Plus policies, processes, and product assortment. Develop and implement scalable compliance strategies to align with evolving rules and regulatory expectations. Partner cross-functionally to identify and close operational gaps in compliance preparedness. Lead internal education efforts to build awareness and drive readiness for regulatory and product safety changes. Serve as the key liaison for compliance-related issue management, ensuring timely resolution and alignment across stakeholders. Influence business and product roadmaps with compliance perspectives to minimize risk and ensure guest trust. Support cross-functional alignment by clearly communicating compliance risks and mitigation strategies. Qualifications: Four-year degree or equivalent experience 8+ years of experience in compliance, marketplace operations, regulatory affairs, or a related field Prior experience in e-commerce or marketplace compliance is highly preferred Strong analytical and problem-solving skills with the ability to turn insights into action Excellent communication skills and the ability to engage mid-to-senior-level stakeholders Proven ability to lead initiatives in a cross-functional and matrixed environment Experience partnering with Product and Legal teams is a strong advantage

About This Role Business Company Description: BlackRocks purpose is to help more and more people experience financial well-being As a fiduciary to investors and a leading provider of financial technology, our clients turn to us for the solutions they need when planning for their most important goals For additional information on BlackRock, please visit blackrock /corporate, BlackRock is proud to be an Equal Opportunity and Affirmative Action Employer We evaluate qualified applicants without regard to race, color, national origin, religion, sex, sexual orientation, gender identity, disability, protected veteran status, and other statuses protected by law, BlackRock will consider for employment qualified applicants with arrest or conviction records in a manner consistent with the requirements of the law, including any applicable fair chance law, Role Aim/Purpose To help ensure BlackRock is regarded, and continues to be regarded, by regulators and peers as a company with high compliance standards by supporting the implementation, continued development, growth and maintenance of an effective global and regional marketing & distribution and cross-border compliance framework, Key Responsibilities Support the APAC Marketing & Distribution Compliance team in the continuous build out of the APAC centralized marketing material review and coordination team This includes, supporting the team in review and coordination of products/services as well as non-product services marketing materials for APAC countries, as well as implementation of new marketing & distribution initiatives regionally, Support the team in acting as the central point of contact in APAC for any global marketing material policy and APAC content related requirements, cross-border marketing & sales compliance framework by helping in drafting and maintenance of marketing and sales related guidance documents Advice business units and compliance on sales and marketing activities related requirements Assist in preparation and dissemination of training material and/or business friendly guidance documents Support in conducting marketing & distribution related trainings for the business Liaise with stakeholders and/or employees to ensure awareness of cross-border marketing & sales related as well general marketing and distribution policies and compliance requirements thereto Support technology initiatives to optimize, automate & scale processes & workflow tools Support the team in necessary reporting relating to the marketing material review as well as monitoring of marketing material to ensure that the framework & policies are adhered to by the Business in general Support junior team members when needed to build a better and collaborative team, Development Value Given the large number of regional compliance processes which are being handled in India, this role assumes significant importance The candidate has an opportunity to be involved in global and regional initiatives and will receive on the job training, acquiring product knowledge and exposure to multiple cross border legal and regulatory requirements, Knowledge/Experience 5+ years of relevant experience in a Compliance domain within a financial institution Strong understanding of asset management products and business activities Good legal research, interpretation and drafting skills Experience in drafting compliance policies, procedures, guidelines Prior experience in cross border sales related advise preferred Prior experience in the review of sales and marketing material preferred Sound understanding of significance of regulatory risk assessment, review, and relevance of mitigating controls Skills/Qualifications Excellent verbal and written communication skills with the ability to communicate effectively at all levels of the business internally and externally Strong analytical and communication skills and ability to work independently and autonomously Superior attention to detail Good team player with ability to collaborate within and across team for meeting the assigned roles and responsibilities, Proficiency in Microsoft Word, PowerPoint, and other system applications High level of expertise in Excel, strong technical skills Excellent time management and organizational skills Ability to interact with employees at all levels and work with global team in a matrix driven organization, Self-driven and ability to drive functional, regional, and global projects independently, Our Benefits To help you stay energized, engaged and inspired, we offer a wide range of benefits including a strong retirement plan, tuition reimbursement, comprehensive healthcare, support for working parents and Flexible Time Off (FTO) so you can relax, recharge and be there for the people you care about, Our hybrid work model BlackRocks hybrid work model is designed to enable a culture of collaboration and apprenticeship that enriches the experience of our employees, while supporting flexibility for all Employees are currently required to work at least 4 days in the office per week, with the flexibility to work from home 1 day a week Some business groups may require more time in the office due to their roles and responsibilities We remain focused on increasing the impactful moments that arise when we work together in person aligned with our commitment to performance and innovation As a new joiner, you can count on this hybrid model to accelerate your learning and onboarding experience here at BlackRock, About BlackRock At BlackRock, we are all connected by one mission: to help more and more people experience financial well-being Our clients, and the people they serve, are saving for retirement, paying for their childrens educations, buying homes and starting businesses Their investments also help to strengthen the global economy: support businesses small and large; finance infrastructure projects that connect and power cities; and facilitate innovations that drive progress, This mission would not be possible without our smartest investment the one we make in our employees Its why were dedicated to creating an environment where our colleagues feel welcomed, valued and supported with networks, benefits and development opportunities to help them thrive, For additional information on BlackRock, please visit @blackrock | Twitter: @blackrock | LinkedIn: linkedin /company/blackrock BlackRock is proud to be an Equal Opportunity Employer We evaluate qualified applicants without regard to age, disability, family status, gender identity, race, religion, sex, sexual orientation and other protected attributes at law,

work: Expert in regulatory compliance Oversee RBI reporting, guidelines adherence & risk management Manage government affairs, liaison & relations FEMA expertise Escrow & Consortium Knowledge Biz Development & Management Communication skills Annual bonus Health insurance

Job Title: Financial Analyst Project Evaluation & Sector Analysis (Female Candidates Only) Department: Corporate Finance / Investment Strategy Location: Kolkata Reporting To: Job Summary: We are actively seeking a qualified female financial analyst with strong analytical and strategic thinking capabilities to join our Corporate Finance team. The role focuses on project evaluation, sector analysis, and financial modeling to support key business decisions. This opportunity is part of our broader commitment to building a diverse and inclusive workforce. Key Responsibilities: Develop comprehensive financial models to assess new projects and investment decisions. Perform in-depth sector and industry analysis, including market trends, regulatory updates, and competitive benchmarking. Conduct financial feasibility studies and perform sensitivity, IRR, NPV, and DSCR analyses. Monitor sector-specific performance indicators and macroeconomic factors influencing business strategy. Prepare investment reports, presentations, and decision-support materials for senior leadership. Collaborate with cross-functional teams to validate assumptions and analyze operational data. Track post-investment project performance and conduct variance analysis against projections. Preparation of PowerPoint decks and investment presentations for senior management and stakeholders. Qualifications & Experience: CA / MBA (Finance) / CFA / CIMA preferred. 1–4 years of experience in financial analysis, project evaluation, or sector research. Key Skills: Strong financial modeling and valuation expertise. Proficient in MS Excel and PowerPoint; Excellent analytical, written, and verbal communication skills. Sound understanding of industry research, strategic planning, and project finance principles. Ability to manage multiple priorities in a fast-paced environment.