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Risk Advisory Regulatory Compliance Executive

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The Risk Advisory Regulatory Compliance Executive at KPMG in India will be responsible for E2E project execution, regulatory reporting, risk identification, data analytics, and collaborating with stakeholders. The role involves working in the Trade Processing team, managing global security transactions, resolving trade queries, monitoring transactions, and reporting exceptions. The candidate must have a sound understanding of regulatory regimes, operational KPIs, data analysis, and automation of manual efforts.

JOB DESCRIPTION

About KPMG in India

 

KPMG entities in India are professional services firm(s). These Indian member firms are affiliated with KPMG International Limited. KPMG was established in India in August 1993. Our professionals leverage the global network of firms, and are conversant with local laws, regulations, markets and competition. KPMG has offices across India in Ahmedabad, Bengaluru, Chandigarh, Chennai, Gurugram, Hyderabad, Jaipur, Kochi, Kolkata, Mumbai, Noida, Pune, Vadodara and Vijayawada.

 

KPMG entities in India offer services to national and international clients in India across sectors. We strive to provide rapid, performance-based, industry-focussed and technology-enabled services, which reflect a shared knowledge of global and local industries and our experience of the Indian business environment

Overview:

Sustaining and enhancing the quality of this professional workforce is KPMG's primary objective. Wherever our firms operate, we want them to be no less than the professional employers of choice.

KPMG was established in India in September 1993 and has rapidly built a significant competitive presence in the country. The firm operates from its offices in Ahmedabad, Bengaluru, Chandigarh, Chennai, Gurugram, Hyderabad, Kochi, Kolkata, Mumbai, Noida, Pune and Vadodara, and offers its clients a full range of services, including financial and business advisory, tax and regulatory, and risk advisory services.
In India, KPMG has a client base of over 2700 companies. The firm's global approach to service delivery helps provide value-added services to clients. The firm serves leading information technology companies and has a strong presence in the financial services sector in India while serving a number
of market leaders in other industry segments.
Our differentiation is derived from a rapid performance-based, industry-tailored and technology-enabled business advisory services delivered by some of the leading talented professionals in the country. KPMG professionals are grouped by industry focus and our clients are able to deal with industry professionals who speak their language. Our internal information technology and knowledge management systems enable the delivery of informed and timely business advice to clients.

KPMG’s global Financial Risk Management (FRM) practice was founded in 1998. Today, it is a market leader supported by 2,100 risk professionals in 51 countries. FRM practice in India is an integral part of a global practice helping clients to identify their exposures, develop a risk management strategy that maximizes competitive advantage and business performance, and apply a comprehensive risk management discipline, supported by leading tools and experienced, specialist resources. 

 

EOE KI :

KPMG India has a policy of providing equal opportunity for all applicants and employees regardless of their color, caste, religion, age, sex/gender, national origin, citizenship, sexual orientation, gender identity or expression, disability or other legally protected status. KPMG India values diversity and we request you to submit the details below to support us in our endeavor for diversity. Providing the below information is voluntary and refusal to submit such information will not be prejudicial to you.

 

RESPONSIBILITIES

his role is for a senior resource who will be responsible for E2E project execution - requirement gathering, defining the scope, liaising with technology and business, identifying risks and dependencies, test execution plan, change management, project delivery and aligning internal and client expectations throughout the life cycle of the project. The candidate needs to be conversant with the applicable regulations, and ensure the regulatory reporting being performed are carried out in a comprehensive manner to ensure that the control environment is always robust. Needs to identify the risk & control issues through continuous monitoring and data analytics. The candidate should be able to design and implement reconciliations to improve data accuracy and timeliness. Needs to collaborate with various stakeholders on matter of regulatory reporting – business and/or compliance requirement, reconciliation methodology, asset management and control aspects for seamless functioning of the unit. 

  • Work as a member of the Trade Processing team that includes Trade Capture, Matching & Settlement of Securities, FX products and Money Market Instruments
  • Process Global Security transactions on global platforms within given deadlines
  • Interact with both internal and external stakeholders to resolve trade confirmation and settlement queries in accordance with client SLAs
  • Monitor transactions to confirm client instructions are processed accurately to ensure timely settlement and accounting
  • Reporting of exceptions in line with internal controls and external requirements, escalating, if need be, to appropriate teams for faster resolution
  • Should be able to understand the E2E trade life cycle from a product perspective 
  • Work through different kinds of trade events like Novation, Cancellation and Option expiry
  • Timely and accurately capture all transactions in Risk Management Systems, complete intraday processes including completeness and reconciliation checks
  • Build an in-depth understanding of all trading structures from a financial and operational perspective
  • Manage and configure client accounts, as well as the various products offered, act as the interface between Front and Back Office to ensure smooth transition of transactions
  • Participate in various Middle Office projects related to optimizing management of the activity
  • Should be able to perform and recommend data analysis and conduct gap analysis wherever necessary 
  • Review & document the current system infrastructure and work with technology to understand the As-Is data flow 
  • Should be able to understand the regulation and map it to the internal system architecture to create a To-Be data flow
  • Define operational KPIs for progress and publish MIS for senior management 
  • Sound understanding of the various Regulatory regimes and should be able to independently associate the reportable attributes for all the regimes
  • Should be able to identify areas wherein manual efforts are being carried out and work towards automation of the same
  • Should be able to liaison with Regional counterparts for best risk practices
  • Consistently deliver quality client services and take charge of the project area assigned to him/her.
  • Possess good business acumen. Remain current on new developments in advisory services capabilities and industry knowledge.

 

QUALIFICATIONS

Postgraduates/Graduates with 1-4 years of experience in Financial Services Industry

Set alert for similar jobsRisk Advisory Regulatory Compliance Executive role in Bengaluru, India
KPMG Logo

Company

KPMG

Job Posted

a year ago

Job Type

Full-time

WorkMode

On-site

Experience Level

3-7 years

Category

Finance

Locations

Bengaluru, Karnataka, India

Qualification

Bachelor or Master

Applicants

Be an early applicant

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