Capital Markets Regulatory Reporting

Job Code # 331

Job Location-  Bangalore

Salary- 6 LPA to 15 LPA

Key skills-
a) Any Graduate
b) Min 3-6 Years of exp in AML/KYC
c) Knowledge of Capital Markets and Regulatory Requirements
d) Knowledge of DFA, EMIR, MIFID, FATCA etc

Job Description-
Job Description:

• 3-6 years of total experience with relevant experience in AML/KYC and capital Markets regulatory requirements.
• Good knowledge & Understanding of AML/KYC /BSA/UK/EU regulations) and other local act regulatory requirements across geographies.
• Hands on experience on working on any regulatory requirements such as DFA, EMIR, MIFID, FATCA, CRS, SFTR, HKMA and MAS.
• Good Knowledge and understanding of Captial Markets products and services such as Fixed Income, Equities, FX, Derivatives, commodities, CDO, DCM.
• Assess the client data and documents to identify if the client meets regulatory requirements across jurisdictions
• Review if all the necessary document, static data and corresponding evidences are on file to comply with regulatory requirement.
• Strong collaborative abilities with various banking business areas Sales/Relationship Managers, Compliance & Audit teams.
• Check for correctness, including validation of client and completeness of documents received against existing regulations.
• Remediate the findings in line with bank’s policies and procedures.
• Reports compliance & control exceptions and deficiencies to the Managers.
• Develop expert knowledge in regulatory requirements, processes, and systems across global jurisdictions, Perform reconciliation and exception management as per the various regulatory requirements.
• Implement process level changes in tune with evolving regulations and industry best practices.
• Ensure the process risks are identified and mitigated effectively, and prevent breaches.
• Ensuring operational targets on productivity and quality are achieved as agreed with the consortium
• Responding to queries, handle level 1 escalation and provide solution for closure of open points

Skills :
• Relevant financial service experience, ideally within CIB space
• Knowledge of the regulatory environment is highly desirable (DFA, EMIR, MIFID, FATCA, CRS, SFTR, HKMA and MAS)
• Familiar with a range of external data sources and third-party systems to be covered as a part regulatory requirements
• Strong analytical ability and attention to detail and strong research skills and experience
• Proficiency with internet and data searches
• Excellent written and verbal communication skills