Regulatory Assurance Analyst

Job Title: Regulatory Assurance Analyst – Securities Services & Custody

About Us

“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. 

WHY JOIN CAPCO?

You will work on engaging projects with the largest international and local banks, insurance companies, payment service providers and other key players in the industry. The projects that will transform the financial services industry.

MAKE AN IMPACT

Innovative thinking, delivery excellence and thought leadership to help our clients transform their business. Together with our clients and industry partners, we deliver disruptive work that is changing energy and financial services.

#BEYOURSELFATWORK

Capco has a tolerant, open culture that values diversity, inclusivity, and creativity.

CAREER ADVANCEMENT

With no forced hierarchy at Capco, everyone has the opportunity to grow as we grow, taking their career into their own hands.

DIVERSITY & INCLUSION

We believe that diversity of people and perspective gives us a competitive advantage.

MAKE AN IMPACT

Location: Bangalore Only

This role 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.

Key Responsibilities:

• Regulatory Monitoring: Track and interpret regulatory developments affecting securities services and custody, including local and international regulations (e.g., SEC, FCA, ESMA, CSDR).

• Compliance Reviews: Conduct periodic assurance reviews of custody operations, transaction processing, asset safekeeping, and client reporting to ensure compliance with regulatory requirements.

• Risk Assessment: Identify, assess, and report on regulatory risks within securities services and custody, recommending mitigation strategies.

• Policy Implementation: Assist in the development and implementation of compliance policies, procedures, and controls specific to custody and securities services. 

• Audit Support: Prepare documentation and support internal/external audits and regulatory inspections, ensuring timely and accurate responses. • Training & Awareness: Support the delivery of regulatory training and awareness programs for custody operations staff.

• Reporting: Prepare regulatory assurance reports for management, highlighting findings, trends, and recommendations. INTERNAL

• Stakeholder Engagement: Liaise with internal stakeholders (compliance, legal, operations) and external parties (regulators, auditors) as required.

• Issue Management: Track and follow up on remediation actions arising from assurance reviews, audits, or regulatory findings. Qualifications & Experience:

• 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. Desirable Skills:

• 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.