Compliance Reporting Specialist

Technology Operations – Governance, Risk & Compliance Function: Technology Risk, IT Compliance & Regulatory Reporting

Experience Level: 7–10 Years About the Role In a credit rating agency or financial enterprise, operational trust and regulatory integrity are foundational to the business model. As a Compliance Reporting Specialist within our global Technology Production Operations team, you will play a critical role in safeguarding that trust.

Sitting at the intersection of Technology, Compliance, Internal Audit, and Global Regulators (such as ESMA, SEC, and EBA), you will oversee compliance reporting, regulatory disclosures, and operational control frameworks. You will be responsible for ensuring that technology infrastructure, production systems, and rating platforms meet the highest standards of digital resilience, audit readiness, and regulatory compliance—particularly under frameworks like DORA (Digital Operational Resilience Act).

This high-visibility role requires a proactive, detail-oriented analyst who thrives in a vigilant environment, demonstrates end-to-end ownership, and can confidently translate technical operations into concise risk and compliance insights for executive leadership.

Key Responsibilities & Job Functions

1.

Regulatory

Reporting & Submissions (DORA / ESMA Focus)

· Prepare, validate, and deliver accurate and timely compliance reports and regulatory submissions aligned with DORA and ESMA supervisory expectations.

· Lead the data collection and evidence-gathering process for ICT incidents, system changes, and operational resilience metrics.

· Maintain complete audit-readiness for all production operations, ensuring evidence and artefacts stand up to direct regulatory inspection.

- Governance & Cross-Functional Coordination

· Represent Technology Operations in regular governance, compliance, and audit forums alongside Business, IT, and Risk stakeholders.





· Serve as the functional bridge between software engineers/operations teams and non-technical compliance officers.

· Document findings, system risks, decisions, and remediation plans in a structured and transparent manner.

3.

Action Item

Tracking & Risk Remediation

· Actively track, drive, and close action items resulting from internal audits, regulatory reviews, and production incident post-mortems.

· Perform root-cause analysis on recurring operational gaps, identifying dependencies and escalating risks proactively to leadership.

· Work closely with technology owners to verify that control gaps are fully remediated—not just ticketed.

4.

Executive

Reporting & Continuous Improvement

· Design and present clear, high-level dashboards and updates for senior leadership on regulatory compliance status, key findings, and open risks.

· Leverage advanced data analytics and reporting tools to streamline compliance workflows and reduce reporting errors.

· Support a culture of vigilance, ownership, and operational excellence across the Technology organization. Key Competencies & Core Skills

· Regulatory & Audit Mindset: Solid understanding of regulatory expectations in financial services, Nationally Recognized Statistical Rating Organizations (NRSROs), or Registered CRAs.

· Technical Communication: Ability to synthesize complex technical discussions (servers, code changes, system outages) into clear, structured compliance documentation.

· Data Quality & Reconciliation: High precision in reconciling large datasets, spotting anomalies, and maintaining data integrity across GRC and workflow platforms.





· Proactive Ownership: Independent drive to follow up across cross-functional teams and see action items through to 100% completion.

· Executive Presence: Confidence in presenting concise, fact-based risk summaries and progress reports to leadership.

Basic Qualifications

7–10 years of progressive experience in Technology Operations, IT Compliance, IT Audit, Operational Risk, or Regulatory Reporting. Bachelor's degree in Information Systems, Computer Science, Finance, Risk Management, Economics, or a related discipline. Proven experience preparing, reviewing, and submitting regulatory reports under DORA and/or ESMA regulatory frameworks.

Strong understanding of IT Service Management (ITIL), including Incident, Problem, and Change Management processes. Hands-on experience with IT governance and control frameworks such as COBIT, NIST, and ISO/IEC 27001. Advanced proficiency in Microsoft Excel, including Pivot Tables, advanced formulas, data validation, and data analysis.

Experience using GRC platforms such as ServiceNow, Archer, or Workiva for compliance, risk, and regulatory reporting. Strong analytical, problem-solving, and stakeholder management skills, with the ability to communicate complex regulatory and operational information effectively. Preferred / Bonus Qualifications

Knowledge of Credit Rating Agency (CRA) regulations, including SEC NRSRO requirements and ESMA CRA Regulations. Professional certifications such as CISA, CRISC, CISM, or ITIL® 4 Foundation.

Experience leveraging AI tools, Prompt Engineering, Markdown, or RegTech solutions to automate reporting workflows, analyze operational data, and generate regulatory insights. Familiarity with reporting automation, workflow optimization, and continuous process improvement initiatives.

Experience working in highly regulated financial services environments, such as credit rating agencies, banking, or capital markets.

📌 DORA Compliance Specialist (Bengaluru)
🏢 AAGATIServe
📍 Bengaluru