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Institutional Investment Operations Specialist-AML & KYC (AVP)

6 - 11 years

13 - 17 Lacs

Posted:3 days ago| Platform: Naukri logo

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Skills Required

Work Mode

Hybrid

Job Type

Full Time

Job Description

Hi All,

Looking for an AML and KYC professional with a deep understanding of US regulations (such as DFA,FINRA,MIFID,IBOR or QFC.

JD:

Role & Responsibilities

Act as a control group for sales and trading desk.
• Coordinate day-to-day activities for access configuration, inventory/access management.• Coverage assignment for Sales and Trading desks enabling them to execute and book the trades and manage fees.• Proficient on all regulatory, legal, and operational rules/policies impacting client data.• Strong Knowledge of the banking regulatory reporting rules and US regulations FINRA,QFC,Dodd Frank Act, SBS, SEC15a6, MSRB,MIFID II etc.• Independently research and analyze regulatory reporting requirements and other financial documents and ensure Regulatory reporting requirements are clearly communicated to the business units publish source data reports• Identifies and highlight/escalate potential risk arising within process.• Excellent Interpersonal skills ability to build relationships.• Oversee BAU and identify process enhancement opportunities• Support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture• Work with other Client Data teams to effectively manage and process client data requests• Develop strong working relationships with stake holders Sales, Complaince, other onboarding teams• Ensure and Adhere to the Regulatory Reporting standards, policies and procedures• Become a risk manager by ensuring data integrity and challenging where required• Provide reporting to senior leadership and produce insightful analyses of the business upon request for management

Shift Timings : US timings: 7.30 pm-4.30 am

Budget: 17 Lacs

Experience: 5-10 years

Location: Bangalore

Preferred candidate profile

Strong Knowledge of the banking regulatory reporting rules and regulations including FINRA 4210, QFC,DFA,MIFID II and other key regulatory policies and rules.
• Extensive knowledge and understanding of all capital markets products, industry trends, regulatory changes, and industry-wide best practices.• Ability to independently research and analyze regulatory reporting requirements and other financial documents• Ability to understand and work with data, including creating alignment among various data sources, developing trends, and creating risk-based analytics from multiple information sources.• Extensive knowledge and experience supporting Fixed Income and Equity Sales & Trading Lines of Business.• Advanced knowledge of client on-boarding life-cycle• Strong Analytic ability, with high attention to detail, accuracy and strong problem solving skills

Interested please send their updated CV to payal.gupta@wellsfargo.com

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Wells Fargo
Wells Fargo

Banking and Financial Services

San Francisco

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