Regulatory & Client Classifications, Associate

Overview

Associate in the Regulatory Client Classification team responsible for ensuring accurate client classification implementation and onboarding regulatory compliance across APAC/EMEA/US.

What you'll do

• Understand and provide knowledge of client classification and related regulations (e.g., CFTC, SEC, MiFID II, EMIR, Dodd-Frank).
• Monitor and control regulatory accounts impacting clients eligible for specific regulations.
• Review and QA Run-the-Bank (RTB) cases to ensure regulations are implemented correctly.
• Manage daily control reports by investigating exceptions, analyzing them, and following remediation steps to resolution.
• Coordinate with Compliance, Legal, and Client Lifecycle Management (CLM)/Client Onboarding teams on exception and escalation cases.
• Provide point-of-contact support to internal stakeholders (Front Office, KYC, Operations) on client classification rules and requirements.
• Create or update Key Operating Procedures and incorporate new regulatory changes; train onboarding teams on updates.

What you'll need

• Over 8 years of direct experience in regulatory compliance, client classification, KYC/onboarding, or a related function.
• Understanding of key financial regulations such as MiFID II and EMIR.
• Knowledge/exposure of US regulations including CFTC, SEC, Volcker, and FINRA within an operational/control context.
• Experience working with Compliance, Legal, Client Onboarding, KYC, and Operations teams.
• Ability to manage regulatory exceptions, escalations, and control processes.
• Strong analytical, risk management, and problem-solving skills.
• Ability to work in a fast-paced, highly regulated environment with strong attention to detail.

Details

• Location: Bangalore, India.
• Working arrangement: Hybrid working model; expected to work in the Bangalore office.