Senior Associate - Regulatory & Client Classifications

About the role

The Regulatory Client Classification team within Regulatory & Cross Product Ops (RCP) ensures accurate implementation of regulatory requirements for client classification and onboarding. The role covers monitoring APAC, EMEA and US regulations, and working closely with Compliance, Legal and Client Lifecycle Management onboarding teams.

Key responsibilities

• Develop and maintain knowledge of US frameworks (Dodd-Frank, Volcker Rule, Regulation W, FINRA 2111/4210, Regulation D/QIBs, 15a6, Regulation O) and EMEA requirements (EMIR, MiFID, GBSA)
• Partner with Compliance and Legal on exception cases and escalations
• Review Run-the-Bank (RTB) activities and manage daily control reporting, including root cause analysis and remediation tracking
• Act as a point of contact for Front Office, KYC and Operations, and guide them on classification rules and documentation
• Create and update Key Operating Procedures and work with Client Onboarding teams to resolve exceptions
• Deliver training to Client Onboarding teams and escalate risks to management

Required profile

• 10-12 years of experience in regulatory compliance, client classification, KYC/onboarding or similar, in an investment bank, financial institution or large corporate environment
• Strong understanding of MiFID II, EMIR, Dodd-Frank and SEC regulations, and EMEA and US regulatory requirements
• Experience in unstructured, fast-paced, highly regulated environments with strong attention to detail
• Good understanding of investment banking operations and the trade lifecycle (preferred)

Required skills

• MS Office, including Excel (pivot tables, VLOOKUP); Outlook; internet browsing
• Markit ISDA Amend knowledge is a plus
• Reference data systems and end-to-end system knowledge is a plus
• Ability to use AI tools to improve productivity

What we offer

• Leave policy, gender-neutral parental leave and childcare assistance reimbursement
• Certification sponsorship, employee assistance program and hospitalization insurance
• Life insurance, health screening for those 35 and above, and training and coaching