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Tier-1 employer and metro location increase competition, but specialized regulatory skills limit applicant pool.
Highly industry-specific regulatory compliance skills and banking knowledge reduce cross-industry transferability.
Explicit 8+ years requirement and mandated regulatory expertise enforce strict shortlisting filters.
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Oversee accurate implementation and monitoring of client classification regulatory requirements across APAC/EMEA/US regions.
Manage daily control reporting, analyze exceptions with offshore teams, and ensure issue resolution with stakeholders.
Support regulatory compliance through exception management, training client onboarding teams, and updating procedures based on regulatory changes.
Over 8 years of direct experience in regulatory compliance, client classification, KYC/onboarding or related function within investment banking or financial institutions.
Strong knowledge of financial regulations including MiFID II, EMIR, Dodd-Frank, CFTC, SEC, Volcker Rule, FINRA 2111 and FINRA 4210.
Experience working with Compliance, Legal, Client Onboarding, KYC, and Operations teams in regulatory or control environments.
Ability to work onsite in Bangalore as per bank's hybrid working model.
Experienced in managing regulatory exceptions and escalations with strong stakeholder management skills.
Analytical with ability to interpret complex financial regulations and provide practical guidance on client classification.
Comfortable operating in a fast-paced, highly regulated banking environment with understanding of investment banking lifecycle as a plus.