23 Dodd Frank Jobs

Our people work differently depending on their jobs and needs. From hybrid working to flexible hours, we have plenty of options that help our people to thrive. This role is based in India and as such all normal working days must be carried out in India. Job Description Join us as a Markets Data Management Associate If you have a background of working in the financial services industry alongside excellent leadership skills, this could be the ideal role for you You'll make sure that your team fully understand their role in the customer in-life cycle management Hone your stakeholder management and influencing skills in a role where you'll be able to build your network and gain exposure for your...

You will be responsible for managing technology teams supporting various business functions such as Foreign Exchange, Rates, Liquid Products, Commodities sales, Risk, and trading. Your main focus will be on leading the development of in-house platform builds to replace legacy vendor platforms and drive significant savings for the firm. You are expected to engage with the business directly to make an impact and increase the complexity of work delivered from India while establishing accountability as key success factors. **Key Responsibilities:** - Manage a team of engineering managers and engineering leads - Focus on delivering commitments aligned to enterprise strategic priorities - Build su...

Direct Walkin Interview Opportunity for Corporate KYC Analyst in TCS Mumbai on 6th Dec 2025 Note: Candidates with relevant experience in Corporate KYC can directly attend the interview. Please go through the norms below before you attend. Interview Details: Job Role: Corporate KYC Analyst Drive Date : 6th Dec 2025 (Saturday) Drive Location: Mumbai TRIL Malad Location: Tata Consultancy Services Ltd, Intellion Square (TRIL IT4), A Wing, 1st Floor,Infinity IT Park, General A.K. Vaidya Marg, Malad (East), Mumbai - 400097 Timing: 09:00 AM - 12:00 PM Candidate to Carry: Copy of an updated resume, Photocopy of an Aadhar card and PAN card, 1 passport size photo and a photocopy of UAN Service History...

Job Description ASSET AND WEALTH MANAGEMENT About Bringing together traditional and alternative investments, we provide clients around the world with a dedicated partnership and focus on long-term performance. As the firm's primary investment area, we provide investment and advisory services for some of the world's leading pension plans, sovereign wealth funds, insurance companies, endowments, foundations, financial advisors and individuals, for which we oversee more than $2 trillion in assets under supervision. Working in a culture that values integrity and transparency, you will be part of a diverse team that is passionate about our craft, our clients, and building sustainable success. We ...

Hiring Alert !! Analyst & SR Analyst for Pune Exp in Lending Functions of Min - 2 Yrs in End To end Mortgage Process As well As Two Federal Laws - FCRA with Dodd Frank Act & ECOA Call@ WhatsApp- Priyanka - 9667678362 / Shubhani - 8595849767

Role Overview: In this role, you will be responsible for determining and escalating high-risk triggers, potential risk findings, and the maintenance of accurate and complete documents into our customer databases. You will collaborate with various stakeholders globally to fulfill an entity's KYC requirements as mandated by compliance and regulatory standards. You will have an exciting opportunity to join a collaborative team that delivers exceptional business and risk outcomes to stakeholders through efficient and high-quality client onboarding. Key Responsibilities: - Determine and escalate high-risk triggers and potential risk findings. - Maintain accurate and complete documents in customer...

Ur gent hiring for Deutsche Bank - 6 months contract Job Description Title: Regulatory Operations Analyst Location: Bangalore. Note: Specific/ mandatory skills: Regulatory reporting, MIS reporting, excel, VBA, Power BI, Alteryx is preferred Experience range: 2 to 3 years Open to considering fresher candidates (Yes/No): No Open to considering relocation/ non-local candidates (Yes/No): No Maximum monthly CTC INR 45,000 Contract duration: 6 months Shift timings: 12:00 PM to 09:00 PM IST Number of days work from office: 3 days a week Preference of hiring only diversity candidates (Yes/No): No Your key responsibilities Design and generate periodic (daily/weekly/monthly) MIS reports to track regul...

Role & responsibilities Regulatory Trade Data Analyst Key Skills: Trade lifecycle & order flow knowledge Experience with OMS/EMS systems (Bloomberg, Fidessa, etc.) Strong in SQL / Python / Excel for data analysis Exposure to compliance, trade surveillance, or reporting Understanding of MiFID II / Dodd-Frank / FCA regulations

As a member of the Regulatory reporting team at NCT, your role involves supporting and controlling the business to ensure compliance with various regulatory requirements such as MiFID II, EMIR, CFTC, and SFTR. You will be working in a team based in Bangalore that handles Regulatory reporting for different asset classes including Rates, Credit, Commodities, Equities, Loans, and Foreign Exchange. Your key responsibilities will include day-to-day exception management, MIS Compilation, User Acceptance Testing (UAT), and supporting in-house tech requirements such as building reports and macros. **Key Responsibilities:** - Performing and managing exception management functions across reporting for...

About Us At ANZ, we're shaping a world where people and communities thrive, driven by a common goal: to improve the financial wellbeing and sustainability of our customers. Our Institutional bank helps our largest customers move trade and capital around the region, providing our people with great opportunities to build their technical expertise and their careers. About The Role As a KYC Case Manager, you will manage the daily activities of Staff responsible for ongoing compliance reviews that meets & exceeds regulatory expectations in AML KYC and other areas relevant to today's heightened regulatory climate. You would provide support to the process leads & analysts, ensuring production objec...

About this role: Wells Fargo is seeking a Institutional Investment Operations Specialist In this role, you will: Participate in lifecycle support tasks for institutional trade initiatives and identify opportunity for process improvements Assist leadership in bringing individual or teams together in order to resolve complex issues Assist in client account onboarding, input and monitoring of cash payments, customer service, project support, funding operations, custodial operations, securities settlement services, structured loan operations, general ledger reconciliation, as well as, work to resolve confirmation and ISDA related issue Provide subject matter expertise on projects along with inte...

In this role, you will be responsible for determining and escalating high-risk triggers, potential risk findings, and maintaining accurate and complete documents in our customer databases. You will collaborate with various stakeholders globally to fulfill an entity's KYC requirements as mandated by compliance and regulatory standards. At Macquarie, the advantage lies in bringing together diverse people and empowering them to shape a multitude of possibilities. As a global financial services group operating in 34 markets with 55 years of unbroken profitability, you will become part of a friendly and supportive team where everyone's contributions, regardless of their role, play a vital part in...

At CGI, were a team of builders. We call our employees members because all who join CGI are building their own company - one that has grown to 72,000 professionals located in 40 countries. Founded in 1976, CGI is a leading IT and business process services firm committed to helping clients succeed. We have the global resources, expertise, stability and dedicated professionals needed to achieve. At CGI, were a team of builders. We call our employees members because all who join CGI are building their own company - one that has grown to 72,000 professionals located in 40 countries. Founded in 1976, CGI is a leading IT and business process services firm committed to helping clients succeed. We h...

Senior Associate, Compliance & Control - Trade Surveillance - Pune At BNY, our culture allows us to run our company better and enables employees growth and success.As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the world's investible assets. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide. Recognized as a top destination for innovators and champions of inclusion, BNY is where bold ideas meet advanced technology and exceptional talent. Together, we power the future of finance -...

An experienced Engineering Analyst is required by the Client Entity Enablement team to operate in an Agile squad involved in changes and rollouts to the Customer Due Diligence ecosystem of applications and services as part of the Technology department. The key responsibilities include planning the analysis approach, stakeholder engagement model, and governance plan for new projects and opportunities, collaborating with key stakeholders to elicit solution requirements, engaging in technical discussions with architects and engineering teams, liaising with Agile team members to ensure delivery of the required solution, performing analysis of the current state and future state requirements, crea...

Performing and/or managing various exception management functions across reporting for all asset classes, across multiple jurisdictions Ensure accurate, timely and completeness of reporting Working closely with our technology development teams to design system solutions, the aim to automate as much of the exceptions process as possible Liaising with internal and external teams to propose developments to the current architecture in order to ensure greater compliance with Regulatory requirements and drive improved STP processing of our reporting across all asset classes Perform root cause analysis or exceptions with investigation & appropriate escalation of any significant issues found through...

Performing and/or managing various exception management functions across reporting for all asset classes, across multiple jurisdictions Ensure accurate, timely and completeness of reporting Working closely with our technology development teams to design system solutions, the aim to automate as much of the exceptions process as possible Liaising with internal and external teams to propose developments to the current architecture in order to ensure greater compliance with Regulatory requirements and drive improved STP processing of our reporting across all asset classes Perform root cause analysis or exceptions with investigation & appropriate escalation of any significant issues found through...

In this role, you will be responsible for determining and escalating high-risk triggers, potential risk findings, and the maintenance of accurate and complete documents into our customer databases. You will collaborate with various stakeholders globally to fulfill an entity's KYC requirements as mandated by compliance and regulatory standards. At Macquarie, our advantage is bringing together diverse people and empowering them to shape all kinds of possibilities. We are a global financial services group operating in 34 markets and with 55 years of unbroken profitability. You'll be part of a friendly and supportive team where everyone - no matter what role - contributes ideas and drives outcom...

In this role, you will be responsible for determining and escalating high-risk triggers, potential risk findings, and maintaining accurate and complete documents in our customer databases. Collaboration with various stakeholders globally is essential to fulfill an entity's KYC requirements as mandated by compliance and regulatory standards. You will have the opportunity to join a collaborative team at Macquarie, where diverse individuals are empowered to shape possibilities in the global financial services sector. Operating in 34 markets with 55 years of unbroken profitability, Macquarie values contributions from every team member to drive outcomes and innovation. The exciting role entails d...

Job Title: Associate Regulatory reporting team Location: Jaipur, India Role Description The role is to perform a number of key functions that support and control the business in complying with a number regulatory requirements such as MiFID II, EMIR, CFTC and SFTR .This role forms part of a team in Bangalore that supports Regulatory reporting across all asset classes: Rates, Credit, Commodities, Equities, Loans and Foreign Exchange. Key responsibilities include day to day exception management MIS Compilation and User Acceptance Testing (UAT). This role will also indulge in supporting in-house tech requirements in terms of building out reports, macros etc. What we’ll offer you Best in class le...

The role is to perform a number of key functions that support and control the business in complying with a number regulatory requirements such as Markets in Financial Directive MiFID II. This role forms part of a team in Bangalore that supports Regulatory reporting across all asset classes: Rates, Credit, Commodities, Equities and Foreign Exchange. Key responsibilities include day to day exception management MIS Compilation and User Acceptance Testing (UAT). This role will also indulge in supporting in-house tech requirements in terms of building out reports, macros etc. Your key responsibilities Performing and/or managing various exception management functions across reporting for all asset...

Role & responsibilities Reg BA (JD) CMT Trade Reporting team is responsible for change management, analysis, definition and delivery of solutions for business requirements resulting from the introduction of new and updated Trade Reporting rules by the various Global Regulatory Bodies, such as HKMA, MIFID2, CFTC, EMIR, and SFTR, working closely alongside the IT function • The industry remains under increased regulatory pressure across our businesses as these reporting obligations are put into effect; therefore a substantial amount of cross functional change is required, and is coordinated by the CMT Trade Reporting team to ensure bank adhere to regulatory objectives in the most time, cost, co...

Professional & Technical Skills: - Must To Have Skills: Proficiency in Capital Markets Regulatory Compliance. Minimum 3.5 - 7 years relevant years of experienece. - Strong understanding of regulatory frameworks and compliance requirements in capital markets. - Ability to analyze complex regulatory requirements and translate them into actionable application features. - Sound understanding of test methodology and agile software development methodology. - Functional knowledge in derivatives and OTC clearing