Associate Manager - Regulatory & Legal Compliance

Manager - Regulatory & Legal Compliance Department: Compliance Role Summary The role requires extensive experience in Regulatory and Legal Compliance. Regulatory Compliance includes experience reading, interpreting, tracking, and actively assisting the Chief Compliance Officer (CCO) in administering internal and external guidelines to comply with ensuing regulatory requirements. Liaising with regulators and acting as an advisor to the CCO in interpreting new regulations to ensure compliance of the CRA with the evolving regulatory requirements and filing necessary regulatory reports. Assisting in policy development and implementation/monitoring and testing/training and development to ensure adherence to internal policies and regulatory requirements. The ideal candidate must be a legal expert and be able to handle complex legal landscapes including legal contracts, industry-specific legislation, and more importantly litigations/dispute resolution by representing the CRA in courts / negotiating settlements. etc. The role offers an exciting opportunity for individuals passionate about making a meaningful impact. If you possess the required qualifications and skills and are eager to contribute to positive change, we encourage you to apply for this position. Preference will be given to Immediate / Early Joiners Primary Responsibilities Regulatory Compliance Strict control over the Organizational Data Repository related to Regulatory Compliance for the preparation of Regulatory Reports, Dashboards, and Presentations Liaison with Regulators and being up-to-date in Regulatory Circulars/Guidelines’ Interpretation. Assisting the CCO in gap analysis on new Regulatory Guidelines to ensure implementation. Collaborate with various internal departments for comprehensive Regulatory Compliance management and assist the CCO in addressing any shortcomings. Assist the CCO in preparing the periodical and ad-hoc Regulatory Reports sought by SEBI/RBI and any other regulatory bodies. Ensure compliance of staff to the Company’s internal policies such as Staff Accountability Policy, Trading Policy, Code of Conduct, etc., and maintain related documentary evidence. Legal Compliance Interpret and advise the CRA in ensuring adherence to the business / industry-specific laws Drafting, reviewing, negotiating contracts, and ensuring that all agreements align with legal standards and protect the CRA from any potential liabilities. Drafting and sending legal replies in matters relating to disputes/litigation, etc. Handling litigation matters and dispute resolutions by representing the CRA in appropriate forums and negotiating settlements as and when required. Competency / Skills Domain Knowledge of Regulatory Compliance - Strong understanding of legal and regulatory requirements in the financial services industry, specifically in credit rating agencies/banks/NBFCs. Strong understanding of regulatory requirements (SEBI, RBI, NSDL) and relevant industry standards. Familiarity with regulatory portals such as NSDL, etc. Proficient in MS Office. Especially an Excel expert with Advanced Excel skills, and the ability to analyze complex data and present meaningful reports to senior management Team Player with the ability to execute compliance projects focused on regulatory compliance. Provides necessary support to the CCO to implement compliance and risk management policies. Strong analytical and problem-solving skills with meticulous attention to detail., Excellent interpersonal and written communication skills. Job Location : Bangalore Education : Bachelor’s Degree in Law. Post Graduate Degree preferred in Law or any other domain. Additional certifications in regulatory compliance / legal will be an added advantage. Experience : 8 - 10 years of relevant experience in the regulatory compliance and legal domain in financial services institutions - Credit Rating Agencies/Banks/NBFCs. Interested candidates may send their detailed resume to anitha.g@brickworkratings.com with the subject line " Associate Manager - Regulatory & Legal Compliance." About Brickwork Ratings Brickwork Ratings (BWR) is one of India’s leading credit rating agencies, committed to providing the investment community with products and services needed to make informed investment decisions. Established in 2007, Brickwork Ratings, a SEBI-registered and RBI-accredited credit rating agency, has Canara Bank, a leading public sector bank as its promoter and strategic partner. BWR is headquartered in Bengaluru and has a pan-India presence. The rating team is headed by the analytical prowess of the industry’s most experienced credit analysts, bankers, and regulators. BWR offers rating services to Bank Loans, NCD, Commercial Paper, Bonds, Mutual Funds, PPMLDs, and Security Receipts. BWR has rated over 100,000 large corporate, Banks, Financial Institutions, State and local Governments, and small businesses. BWR provides investors and lenders with timely and in-depth research across the structured finance, public finance, financial institutions, project finance, and corporate sectors.

Location: bangalore, IN

Posted Date: 6/17/2025