Associate Compliance Manager

Associate Compliance Manager

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Work Location:

Bengaluru

Bengaluru

Relevant Work Experience:

(CRAs / Banks / Financial Industry)

5+ years

About Brickwork Ratings

Primary Responsibility:

Competency / Skills:

Educational Qualification:

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 and bankers.

BWR offers rating services to Bank Loans, NCD, Commercial papers, Bonds, Mutual Funds, PPMLDs, and Security Receipts. BWR s ratings have rated over 100,000 large Corporates, Banks, Financial Institutions, State and local Governments, and small businesses. BWR provides investors and lenders, with timely and in-depth research across structured finance, public finance, financial institutions, project finance, and corporate sectors.

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.

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.
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

Graduate/Post-Graduate in Commerce, Law, Finance, or related discipline. Professional certifications in compliance, securities markets, or NISM will be an added advantage.

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