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Tier-1 brand and metro location but senior, specialized compliance role yields moderate competition.
Requires deep banking regulatory, KYC, and onboarding expertise, limiting cross-industry transferability.
Explicit 8+ years and mandatory regulatory/compliance experience make selection filters stringent.
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Ensure accurate implementation and monitoring of client classification and onboarding regulatory requirements across APAC/EMEA/US regulations.
Manage daily control and exception reports with offshore teams, collaborating closely with Compliance, Legal, Client Onboarding, and other stakeholders to resolve regulatory issues.
Create and update Key Operating Procedures, provide training on regulatory changes, and act as primary contact for internal queries related to client classification.
Over 8 years of direct experience in regulatory compliance, client classification, KYC/onboarding, or related functions within investment banking, financial institutions, or large corporates.
In-depth knowledge of financial regulations including MiFID II, EMIR, Dodd-Frank, and US regulations such as CFTC, SEC, Volcker, FINRA.
Proven experience managing regulatory exceptions, escalations, and control processes alongside Compliance, Legal, and Operations teams.
Work Location: Bangalore, India; expected to work in office per Bank’s hybrid model.
Experienced in interfacing and managing relationships with Compliance, Legal, Client Onboarding, and Operations teams in a regulated financial environment.
Strong analytical and risk management skills with ability to handle complex regulatory nuances and grey areas.
Familiarity with investment banking lifecycle and operational controls, with proficiency in MS Excel and regulatory documentation processes.