Job Description:
Job Title: Regulatory & Client Classifications, AVP
Location: Bangalore, India
Role Description
The Regulatory Client Classification team within Regulatory & Cross Product Ops (RCP) is responsible for ensuring the accurate implementation of regulatory requirements related to client classification and onboarding processes.
As part of the team, you will be responsible for understanding and monitoring various APAC/ EMEA/ US Regulations as well as tactical and strategic analysis and remediation of Regulatory accounts impacting clients eligible for specific Regulations. You’ll support and contribute to daily monitoring and control reporting for various Regulations along with being part of a team that works in close partnership with various stakeholders such as Compliance, Legal and the Client Lifecycle Management (CLM) on-boarding teams.
What we’ll offer you
As part of our flexible scheme, here are just some of the benefits that you’ll enjoy
Best in class leave policy
Gender neutral parental leaves
100% reimbursement under childcare assistance benefit (gender neutral)
Sponsorship for Industry relevant certifications and education
Employee Assistance Program for you and your family members
Comprehensive Hospitalization Insurance for you and your dependents
Accident and Term life Insurance
Complementary Health screening for 35 yrs. and above
Your key responsibilities
Develop and maintain comprehensive knowledge of key US regulatory frameworks, including CFTC Dodd-Frank, SEC Swap-Based Securities Dodd-Frank, Volcker Rule, Regulation W, FINRA 2111, FINRA 4210, Regulation D/QIBs, Foreign Bank Certificates, 15a6, and Regulation O, ensuring accurate interpretation and application in operational processes.
Build strong understanding of EMEA regulatory requirements such as EMIR, MiFID, and GBSA, and ensure consistent adherence across client classification activities.
Partner closely with Compliance and Legal teams to manage exception cases and escalations, ensuring timely resolution through to completion.
Conduct quality assurance reviews of Run-the-Bank (RTB) activities to validate correct implementation of regulatory requirements and identify potential gaps.
Manage daily control reporting processes, including coordination with offshore teams to investigate exceptions, perform root cause analysis, define remediation actions, and track resolution with relevant stakeholders.
Serve as a key point of contact for internal stakeholders, including Front Office, KYC, and Operations teams, providing support on client classification queries and regulatory requirements.
Offer clear, practical guidance on regulatory interpretations, documentation standards, and classification requirements to ensure accurate and consistent implementation.
Create, maintain, and update Key Operating Procedures (KOPs), ensuring incorporation of new and evolving regulatory requirements.
Collaborate with Client Onboarding (COB) teams to identify and resolve exceptions efficiently, ensuring smooth onboarding processes.
Deliver training and knowledge-sharing sessions to COB teams on new regulatory developments and process changes.
Proactively identify and escalate potential risks or control gaps to management, supporting effective risk mitigation and governance.
Act as a point of contact for internal stakeholders (Front Office, KYC, Operations) for routine queries related to client classification rules and requirements.
Provide clear and practical guidance on regulatory nuances and documentation needs for classification
Responsible for creating and/or updating Key Operating Procedures and incorporating new regulatory changes as needed
Your skills and experience
10–12 years of relevant experience in regulatory compliance, client classification, KYC/onboarding, or similar functions within an investment bank, financial institution, or large corporate environment, with strong exposure to financial regulations.
Strong understanding of key regulatory frameworks,…