Senior Compliance Expert for Investment Bank

1 day ago


Pune, Maharashtra, India Gloriazm Consultant Full time

About Gloriamz Consultancy

Gloriamz Consultancy is a renowned recruitment firm in Asia, partnering with global clients to deliver exceptional talent solutions.

We are seeking a highly skilled Senior Compliance Expert for a prestigious US-based investment bank looking to strengthen its compliance operations in the region.

Role Overview

  • Perform thorough client due diligence, including high net-worth individuals, corporates, trusts, and other entities.
  • Assess and verify ultimate beneficial owners and source of wealth.
  • Conduct enhanced due diligence on high-risk clients and politically exposed persons.
  • Evaluate sanctions, adverse media, and PEP screening results to mitigate potential risks.
  • Identify and escalate any potential red flags to the Compliance team.

Key Responsibilities

Client Due Diligence:

  • Perform in-depth reviews of clients to ensure adherence to regulatory requirements.
  • Verify the accuracy of client information and identify any discrepancies.

Enhanced Due Diligence:

  • Conduct thorough analysis of high-risk clients and PEPs to assess potential risks.
  • Evaluate sanctions lists and adverse media to ensure compliance.

Compliance and Risk Management:

  • Identify and escalate any potential red flags to the Compliance team.
  • Ensure compliance with local and global regulatory frameworks, including AML/CFT guidelines.

Requirements

  • A minimum of 3-7 years of experience in KYC, AML, or compliance roles, preferably within investment banking.
  • A Bachelor's degree in Finance, Business Administration, Law, or a related field.
  • I-CAMM KYC certification or CCDS KYC Certification from American CBM or CAMS or any globally recognized KYC certification is mandatory.

Salary Range

The estimated salary for this role is between $80,000 - $120,000 per annum, depending on experience.



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