Regulatory Assurance Analyst – Securities Services & Custody

About the role

Capco, a Wipro company and global technology and management consulting firm, is hiring a Regulatory Assurance Analyst for its Securities Services and Custody practice in Bangalore. The role ensures that the organization adheres to relevant regulations, industry standards and internal policies, safeguarding client assets and maintaining robust operational controls. The analyst conducts reviews, monitors regulatory changes and helps implement compliance frameworks.

Key responsibilities

• Track and interpret regulatory developments affecting securities services and custody, including local and international regulations (e.g. SEC, FCA, ESMA, CSDR)
• Conduct periodic assurance reviews of custody operations, transaction processing, asset safekeeping and client reporting
• Identify, assess and report regulatory risks and recommend mitigation strategies
• Assist in developing and implementing compliance policies, procedures and controls for custody and securities services
• Prepare documentation and support internal and external audits and regulatory inspections
• Support regulatory training and awareness programmes for custody operations staff
• Prepare regulatory assurance reports for management with findings, trends and recommendations
• Liaise with compliance, legal and operations teams, regulators and auditors, and follow up on remediation actions

Required profile

• Bachelor's degree in finance, business, law or a related field
• 2+ years of experience in regulatory compliance, assurance or audit within financial services, preferably securities services or custody
• Strong knowledge of securities regulations, custody operations and asset protection requirements
• Experience with frameworks such as CSDR, MiFID II, SEC or FCA
• Excellent analytical, communication and report-writing skills

Desirable skills

• Professional certifications such as ICA, CISI or CAMS
• Experience with compliance monitoring tools and risk management systems
• Attention to detail and strong organisational skills