Regulatory Reporting Associate

AXIS DIRECT; Navi Mumbai; On-site; INR 700,000 - 1,200,000; Full time

Job summary

AXIS DIRECT in Navi Mumbai seeks a precise Regulatory Reporting professional to ensure accurate, timely reporting across NSE, BSE, MCX and NCDEX with strong internal controls.

You will prepare and reconcile reports, develop risk dashboards, and drive process improvements while coordinating with stakeholders. A background in stock-broking frameworks and MS Office proficiency is essential.

Qualifications

• Graduate or postgraduate in a relevant field.
• Experience in regulatory reporting and internal controls.
• Strong communication and presentation skills.
• High accuracy and meticulousness in data handling.

Responsibilities

• Prepare, review, and reconcile regulatory reports across NSE, BSE, MCX, and NCDEX within defined timelines.
• Ensure 100% reconciliation to prevent discrepancies and reporting errors.
• Manage reports including: Collateral Segregation & Details; Margin Trading Facility (MTF) Reporting; Margin Reporting (Equity, Derivatives, Currency, Commodity); Pool Holding Reports; Running Account Settlement (Quarterly).
• Conduct risk analysis, gap analysis, and operational risk assessments.
• Design and implement internal controls to mitigate risks and ensure regulatory compliance.
• Develop dashboards for risk indicators, exception reporting, and regulatory assurance.
• Coordinate with internal and external stakeholders for seamless reporting processes.
• Maintain audit-ready documentation and support regulatory examinations.
• Identify opportunities for automation and process improvements.

Skills

Stock broking frameworks

Regulatory reporting

Internal controls

Risk assessment

Analytical skills

Attention to detail

MS Excel

Communication skills

Education

Graduate / Postgraduate in relevant field

Tools

MS Office

Job description

Position Overview

We are looking for a detail-oriented and analytical professional to join our Regulatory Reporting team. This role is critical in ensuring accurate, timely, and compliant reporting across exchanges while strengthening internal control frameworks within the organization.

Role & responsibilities

1. Prepare, review, and reconcile regulatory reports across NSE, BSE, MCX, and NCDEX within defined timelines
2. Ensure 100% reconciliation to prevent discrepancies and reporting errors
3. Manage reports including:
4. Collateral Segregation & Details
5. Margin Trading Facility (MTF) Reporting
6. Margin Reporting (Equity, Derivatives, Currency, Commodity)
7. Pool Holding Reports
8. Running Account Settlement (Quarterly)
9. Conductrisk analysis, gap analysis, and operational risk assessments
10. Design and implement internal controls to mitigate risks and ensure regulatory compliance
11. Develop dashboards for risk indicators, exception reporting, and regulatory assurance
12. Coordinate with internal and external stakeholders for seamless reporting processes
13. Maintain audit-ready documentation and support regulatory examinations
14. Identify opportunities for automation and process improvements
15. MG 13 Reporting, MTR, MTF Reporting, Margin Reporting, Collateral Segregation, MTR Reporting, MTF Reporting, Holding Reporting

Key Skills & Requirements

1. Strong knowledge of stock broking frameworks within the financial services industry
2. Experience in regulatory reporting, internal controls, or compliance
3. Hands-on experience in risk assessment, audits, and control frameworks
4. Strong analytical and problem-solving abilities
5. High attention to detail and accuracy
6. Proficiency in MS Office (especially Excel)
7. Excellent written and verbal communication skills

Core Competencies

1. Planning & Organizing
2. Problem Solving & Decision Making
3. Stakeholder Management & Teamwork
4. Drive for Results
5. Adaptability & Change Management
6. Strong communication and presentation skills

Educational Qualification

1. Graduate / Postgraduate in relevant field
2. Strong interpersonal and communication skills