Role Summary

We are seeking a highly motivated and detail-oriented Compliance Professional with relevant experience, preferably associated with a Credit Rating Agency (CRA) or working with other SEBI/RBI-

regulated entities in the financial domain. The successful candidate will be responsible for executing and monitoring compliance functions, ensuring adherence to applicable regulations, and supporting

the Chief Compliance Officer in day-to-day activities, regulatory filings, reporting, and audits. The role requires solid regulatory understanding, analytical skills, and the ability to work effectively in a fast-paced environment.

Highlights: The role offers an exciting opportunity for individuals passionate about making a meaningful impact. Exposure to full-spectrum regulatory compliance in a fast-paced and growth-oriented environment of a leading Credit Rating Agency. Opportunity to contribute to key compliance initiatives and strengthen Organisational Governance.

Preference will be given to Immediate / Early Joiners

Primary Responsibilities:

Regulatory Compliance (SEBI, RBI, Stock Exchanges, FIU)

- Ensure timely and accurate compliance with SEBI (CRA, LODR, ICDR, PMLA), RBI, and Stock Exchange regulations.
- Prepare, review, and submit periodic regulatory reports, returns, disclosures, and certifications.
- Monitor regulatory updates, circulars, and guidelines; assess their impact and coordinate implementation.
- Manage compliance related to listing obligations, disclosures, and information submissions to stock exchanges.
- Oversee compliance under PMLA, including KYC reviews and reporting.
- Regulatory Interaction & Correspondence: Liaise with SEBI,



RBI, Stock Exchanges, FIU-IND, and other regulatory bodies as required.
- Draft and respond to regulatory communications, queries, notices, and inspection observations.
- Assist CCO in representing the organisation during regulatory inspections and interactions.
- Audit Management: Coordinate internal audits, statutory audits, and SEBI/RBI inspections.
- Ensure timely closure of audit observations and implementation of corrective actions.
- Maintain audit trails, documentation, evidence files, and compliance records.
- Compliance Monitoring & Reporting: Conduct periodic internal compliance reviews monitoring, and risk assessments.
- Prepare Compliance reports, dashboards, compliance matrices, and trackers for management and board committees.
- Maintain up-to-date records of compliance submissions, regulatory filings, and approvals.
- Policies, Processes & Controls: Assist in drafting, updating, and reviewing internal policies, SOPs, and compliance frameworks.
- Provide compliance guidance to internal teams, analysts, and business stakeholders.
- Ensure proper documentation, version control, and adherence to internal regulatory protocols.
- Excel & Documentation: Prepare reports, data analysis, working papers,



and regulatory formats using advanced MS Excel.
- Ensure accuracy, consistency, and structure in all compliance documents and reports.

Competency / Skills:

- Strong understanding of SEBI CRA Regulations, SEBI LODR, ICDR, RBI Guidelines, Companies Act, and PMLA.
- Prior exposure to SEBI and/or RBI-regulated entities is preferred.
- Excellent drafting, documentation, and regulatory correspondence skills.
- Strong proficiency in Excel (Pivot tables, VLOOKUP/XLOOKUP, conditional formulas, dashboards).
- Ability to work under strict timelines, multitask, and thrive in a fast-paced environment.
- High level of integrity, professionalism, and attention to detail.
- Strong communication, coordination, and stakeholder-management 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.
- Robust 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.

📌 Associate Manager - Compliance (Mumbai)
🏢 Brickwork India
📍 Mumbai