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Tier-1 brand and metro location increase candidate density, but niche regulatory expertise limits applicants.
Requires deep banking regulatory and KYC/onboarding experience, limiting cross-industry transferability.
Explicit 8+ years and mandatory regulatory/compliance experience and controls expertise make shortlisting highly selective.
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Oversee and ensure accurate implementation of regulatory requirements related to client classification and onboarding across APAC/EMEA/US regulations.
Manage daily control reports by coordinating with offshore teams to investigate exceptions, identify remediation steps, and resolve issues with stakeholders.
Serve as a key contact for internal teams (Front Office, KYC, Operations) regarding client classification rules, provide regulatory guidance, update Key Operating Procedures, and train onboarding teams on regulatory changes.
Over 8 years of experience in regulatory compliance, client classification, KYC/onboarding, or related roles within investment banks, financial institutions, or large corporates with financial regulations exposure.
Mandatory knowledge of key financial regulations such as MiFID II, EMIR, Dodd-Frank; specific exposure to US regulations like CFTC, SEC, Volcker Rule, FINRA in operational or control environments.
Proficiency in MS Excel including pivot tables and VLOOKUPs; competent business user of MS Office products and Outlook.
Work Location: Bangalore, India; expected to work in-office as per bank’s hybrid working model.
Experienced in managing regulatory exceptions and escalations within a fast-paced, highly regulated financial environment with strong analytical and risk management skills.
Strong stakeholder management and communication capabilities demonstrated by collaboration with Compliance, Legal, Client Onboarding, KYC, and Operations teams.
Ability to interpret complex regulatory requirements and ambiguity (grey areas) using procedures and resources effectively, with prior experience training others on regulatory updates.