A Banking Capital Markets Compliance Officer ensures that operations adhere to all contractual and regulatory requirements regarding financial transactions, procedures, processes and operations are compliant, relevant laws, internal policies, and industry best practices.
• Provide support and guidance to operations during internal/external audits
• Act as independent reviewer and evaluation body to ensure that compliance issues/concerns within client area are being appropriately evaluated, investigated and resolved.
• Identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution of problematic issues and provide general guideline on how to avoid or deal with similar situations
• Provide reports on a regular basis, and as directed or requested, to keep senior management informed of the operations and progress of compliance efforts
• Educating and training employees on compliance guidelines
• Bachelor’s degree in banking and finance, law, business administration, or a related field (a master’s degree is a plus).
• 3-5 years of experience as a Compliance Officer mainly in Banking industry (Compliance and financial services regulation)
• Experience in risk management in banking
Skills
• Excellent communication skills
• Highly analytical and attention to details
• Strong leadership and interpersonal skills; must exhibit good independent judgement
Education Requirements
Bachelor’s degree in Business, Legal Studies, Risk Management, or related field
Work Experience Requirements
1–3 years of experience in compliance, risk management, audit, or regulated operations (preferred)
Experience in operational or first-line compliance is an advantage
EXL (NASDAQ: EXLS) is a leading data analytics and digital operations and solutions company. We partner with clients using a data and AI-led approach to reinvent business models, drive better business outcomes and unlock growth with speed. EXL harnesses the power of data, analytics, AI, and deep industry knowledge to transform operations for the world’s leading corporations in industries including insurance, healthcare, banking and financial services, media and retail, among others. EXL was founded in 1999 with the core values of innovation, collaboration, excellence, integrity and respect. We are headquartered in New York and have more than 54,000 employees spanning six continents. For more information, visit www.exlservice.com
EXL never requires or asks for fees/payments or credit card or bank details during any phase of the recruitment or hiring process and has not authorized any agencies or partners to collect any fee or payment from prospective candidates. EXL will only extend a job offer after a candidate has gone through a formal interview process with members of EXL’s Human Resources team, as well as our hiring managers.
Choosing a digital partner is about more than capabilities — it’s about collaboration and character.
Unrealistic overhauls and off-the-shelf products ignore what matters most — your unique needs, culture, goals, and your legacy data and technology environments.
At EXL, our collaboration is built on ongoing listening and learning to adapt our methodologies. We’re your business evolution partner—tailoring solutions that make the most of data to make better business decisions and drive more intelligence into your increasingly digital operations.
Whether your goals are scaling the use of AI and digital, redesign operating models, or driving better and faster decisions, we’re here to partner with you to help you gain—and maintain—competitive advantage with efficient, sustainable models at scale.
Our expertise in transformation, data science, and change management helps make your business more efficient and effective, improve customer relationships and enhance revenue growth. Instead of focusing on multi-year, resource- and time-intensive platform designs or migrations, we look deeper at your entire value chain to integrate strategies with impact.
We use our specialization in analytics, digital interventions, and operations management—alongside deep industry expertise — to deliver solutions that help you outperform the competition.
At EXL, it’s all about outcomes—your outcomes—and delivering success on your terms. Share your goals with us and together, we’ll optimize how you leverage data to drive your business forward.
For more information, visit www.exlservice.com.
