Regulatory Compliance - AI Senior Analyst

JOB DESCRIPTION – Legal & Compliance Services

LOB	Financial Services	PREFERRED SECTOR/INDUSTRY	Legal & Compliance
DESIGNATION	Senior Analyst	QUALIFICATION	Commerce Graduate/Post Graduate degrees/MBA/LLB (experience with operations/administrative /legal tasks)
JOB LOCATION	Bengaluru	EXPERIENCE REQUIRED	5-7 years

JOB RESPONSIBILITIES

The role of Senior Analyst Finance & Regulatory Compliance shall encompass various tasks including, but not limited to, the following:

·        Review, red-line and summarize financial/transactional documents.

·        Analyse memos in line with established guidelines.

·        Evaluate requests for approval or denial in accordance with compliance guidelines and the approval matrix.

·        Support invoice reviews and assist with various ad hoc tasks within the legal department; experience with Coupa is an advantage.

·        Assess risks and conflicts of interest and flag related emails for preclearance approvals to ensure adherence to global compliance policies.

·        Proactively manage financial and regulatory risks, automate tasks, and improve team collaboration to enhance global efficiency.

·        Manage compliance calendars, draft related agendas, and ensure timely updates.

·        Maintain accurate records of requests in spreadsheets for tracking and reporting purposes.

·        Perform data analysis and reconciliation to ensure accuracy and consistency.

·        Create internal reports to support compliance-related activities.

·        Work with cross-functional teams to collect data and maintain relevant logs.

·        Organize and manage document repositories and databases effectively.

·        Develop Standard Operating Procedures (SOPs) and other process documentation to streamline workflows.

·        Streamline compliance processes, enhance data visualization, and improve operational efficiency through the advanced use of Excel, Power Query, Visual Basic for Applications (VBA), Copilot Agents, and other AI-powered technologies.

·        Generate detailed reports and presentations using MS Excel and PowerPoint on a monthly, quarterly, and annual basis.

·        Collaborate with attorneys, paralegals, and team members to handle complex projects and ensure efficient service delivery.

Reports to

Team Lead / Manager

How You Add Value

( including but are not limited to)

You have at least 5-7 years’ experience in the Finance & Regulatory/ corporate/legal department of a fiduciary or have worked in a company engaged in providing finance services. You are willing and looking to consolidate and grow your skills and talents in the long term with a company that works in a strong team and results-based environment. You speak English fluently and bring to the table:

·        Strong exposure to legal and financial compliance processes.

·        Practical experience in handling fundamental financial, legal, and compliance tasks.

·        Proficient in using the MS Office Suite. Knowledge of Advanced Excel, Power Query and VBA is desirable.

·        Proven ability to collaborate with diverse teams and work across multiple platforms.

·        Prior experience in drafting compliance memos and preparing compliance reports is essential.

·        Skilled in conducting email and phone outreach to stakeholders, facilitating discussions related to quality assessment outcomes.

·        Capable of preparing concise written summaries by synthesizing information from various sources.

·        Experienced in coordinating with both internal and external clients.

·        Responsible for obtaining client approvals on SOPs and prepared documents.

DESIRED SKILLS & COMPETENCIES

·        Demonstrates professionalism and ethical behavior in all interactions, consistently working with integrity to uphold company values and build trust with colleagues, clients, and stakeholders.

·        Comprehend new concepts, processes, and information quickly, applying understanding effectively to deliver results in a fast-paced environment.

·        Demonstrate resourcefulness and attentiveness, proactively identifying opportunities, addressing challenges, and ensuring details are managed with care.

·        Work in a highly collaborative manner and demonstrate strong team player qualities, contributing to shared goals.

·        Engineers solutions that are robust and error-proof, proactively identifying and mitigating potential risks to ensure reliable performance and quality outcomes.

·        Skilled in designing and implementing process-driven solutions leveraging Power Query, VBA, Copilot Agents, Cowork, and a range of AI tools to automate workflows, drive productivity gains, and enable data-driven decision-making.

·        Exercises strong time and project management skills with agility, adapting quickly to shifting priorities while maintaining high-quality outcomes.

·        Exercise prudent judgment and discretion when engaging with key stakeholders, ensuring sensitive information is handled appropriately.

·        Communicates clearly and concisely, ensuring ideas, instructions, and feedback are delivered effectively in both written and verbal formats.

·        Demonstrates a strong motivation to learn and grow, actively seeking opportunities to expand skills, knowledge, and professional capabilities.

·        Demonstrates aptitude for quickly learning new programs and systems and effectively building out processes that enhance efficiency and scalability.

·        Propels the team forward by setting and upholding a high standard of excellence, inspiring others to consistently deliver their best work.

·        Demonstrate the ability to both coach others and receive coaching, fostering a culture of continuous learning, feedback, and mutual growth.