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Tier-1 employer, mid-level experience range, and Bangalore metro location drive high candidate competition.
Requires banking compliance, surveillance and financial product knowledge, limiting cross-industry transferability.
Mandatory 4 years in investment banking operations plus compliance and product knowledge enforces moderate screening rigor.
Review, approve, and monitor employee activities in Personal Account Dealing Trading, Outside Business Interests, Private Investments, Employee Trade Surveillance, and Consequence Management across APAC, Americas, and EMEA.
Collaborate with Country Compliance Officers, business, Operations, and Technology teams to develop, review, test, and enhance compliance procedures.
Prepare Management Information (MI), track KPIs, manage process escalations, stakeholder communications, and support global compliance projects.
Bachelor's or Master's degree in Commerce and Finance.
Minimum 4 years of prior experience in Investment Banking Operations.
Experience or exposure to Compliance Operations or compliance-related roles is preferred but not mandatory.
Advanced skills in MS Excel and PowerPoint, including handling large data sets and data manipulation.
Experience working with multi-regional teams (APAC, Americas, EMEA) handling compliance functions in a banking environment.
Detail-oriented with strong problem-solving skills and the ability to manage multiple assignments under pressure.
Ability to leverage AI tools responsibly to enhance productivity and optimize workflows in compliance tasks.