Client is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.
As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Client can proe a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Background on the Team
Client Onboarding Regulatory Services (CORS) is an Operations group within ISG Product Operations that is responsible for adherence to client regulatory requirements during the life of the client’s relationship with Cient. This includes Anti-Money Laundering (AML) Client Reference Screening, Know Your Client (KYC), and other non-AML/KYC regulations such as MIFID, QIB, QFC, Dodd Frank, EMIR, HKPI, etc.
The team is comprised of regulatory SMEs that provide support and regulatory control to global Business Units and stakeholders. The teams work on cross-functional projects in support of changed or new regulations, processes and controls that have an impact across the Firm coordinating with Legal, Compliance, Central Change and Technology.
We are looking for an Analyst to join our CORS team in Bangalore. This position will support the Firm’s Equities, Fixed Income, Investment Banking, Investment Management businesses in EMEA region. Responsibilities will include:
- Perform Client Due Diligence review in support of the Firm’s new client onboarding and existing client regular review in accordance with the applicable regulatory program requirements (such as UK, Germany, Dubai, US, Hong Kong, Singapore KYC requirements and applicable eligibility standards)
- Update Firm systems and databases with information and documentation as obtained from clients
- Handle inquiries and ad hoc requests from internal clients including Compliance where required
- Actively engage with business, client onboarding teams, Compliance and Operations during the life cycle of the review starting from a request is received to completing a review.
- Ability to handle volume spikes and prioritize work including ad-hoc requests and projects to meet business demands in a timely manner
- Understand and implement in respond to changes such as regulatory changes, internal policy and procedural changes.
- Deliver with quality, accuracy, and timeliness with at expected throughput rates
- Strong attention to detail and research/investigative skills
- Ability to interact effectively with Business Units, Compliance, global colleagues (Hong Kong, Budapest, London, Tokyo, New York, Bangalore) and build effective working relationships
- Ability to work independently and meet the business deadlines with accuracy, handle trouble shooting to mitigate risks
- Minimum 1 to 2 years’ of work experience
- Experiences in AML/KYC customer due diligence, control, and regulatory program related process and/or projects are preferred.
- Knowledge of global KYC/CIP requirements (for UK, US, Germany, Hong Kong, Singapore etc.) supporting international institutional and wealth management businesses desired
- Familiarity with India local KYC and ODI regulatory requirements is a plus
- Minimum Bachelors’ Degree
Other Required Skills:
- Flexibility and adaptability
- Attention to detail
- Planning & coordinating
- Prioritization and time management
Monday to Friday from 1:30 PM to 10:30 PM / 2:30 PM – 11:30 PM IST. Coverage is dependent on business needs so flexibility on required finish time or full day’s coverage may be required during some Indian holidays