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NTT DATA Logo NTT DATA · Finance

Risk and Compliance Business Analyst/SME

India, Mumbai · Job Posted March 01, 2026
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Job Description

The Risk and Compliance Business Analyst/SME role requires over 10 years of experience in Indian retail trading and broking compliance. Candidates should have a strong understanding of SEBI regulations and compliance processes. Responsibilities include leading compliance readiness, stakeholder interactions, and ensuring operational risk controls. Preferred qualifications include NISM certification and experience with surveillance tools.

Job Responsibility

  • Lead readiness for SEBI/exchange circulars, regulatory changes, and compliance-driven system enhancements
  • Analyse regulatory requirements and propose operational, system, and process adjustments
  • Develop compliance readiness plans including controls, reporting, and process changes
  • Define SOPs, control matrices, RACIs, compliance workflows
  • Strengthen operational risk controls across trading, DP, and back-office
  • Prepare BRDs, compliance requirement documents, impact assessments
  • Translate regulatory requirements into system/tech changes
  • Lead compliance UAT, validation testing, and regression
  • Support cutover planning and post-go-live compliance checks
  • Support SEBI/exchange/depository audits and inspections
  • Collaborate with Legal, Tech, Ops, Risk, and Product teams

Requirements

  • 5-12 years in Retail Trading / Broking, Risk & Compliance
  • 10+ years in Indian retail trading & broking compliance/risk
  • Strong understanding of SEBI, exchange, and depository regulations
  • Experience with OMS/RMS/Back-office/DP systems
  • Preferred Market Context: Indian Capital Markets (SEBI/NSE/BSE/MCX/CDSL/NSDL)
  • Notice Period: Immediate to 45 days preferred

Nice to have

  • Experience with top Indian brokers/fintech firms
  • NISM certifications
  • Experience with surveillance or RegTech tools
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