Job Description: AVP/Sr. AVP – Banking Operations & Regulatory Reporting Location: Bengaluru (Hybrid options available) Department: Banking

Reports To: VP Role Summary: The AVP/Sr. AVP will be responsible for overseeing regulatory reporting and banking operations in compliance with U.S. financial regulations including SEC, FINRA, OFR, and Federal Reserve requirements. This role involves managing core banking operations, ensuring timely and accurate filings, and collaborating with internal and external stakeholders to maintain operational excellence and regulatory compliance. Key Responsibilities: Regulatory Reporting:

Serve as a subject matter expert on U.S. regulatory frameworks and reporting obligations.
Participate in regulatory examinations, audits, and respond to inquiries from agencies and internal control partners. Core Banking Operations – Back Office:
Manage end-to-end processing of financial transactions including ACH, wire transfers, check clearing, and securities settlements.
Ensure timely and accurate settlement of trades across asset classes (equities, fixed income,



derivatives).
Monitor and resolve exceptions, breaks, and unmatched items in trade lifecycle systems.
Oversee daily, monthly, and quarterly reconciliations of cash, positions, and general ledger accounts.
Implement and monitor control frameworks to ensure data integrity and minimize operational risk.
Investigate and resolve reconciliation breaks in coordination with custodians, counterparties, and internal teams.
Supervise processing of corporate actions including dividends, stock splits, mergers, and tender offers.
Maintain and validate reference data (e.g., security master, counterparty details) to support accurate transaction processing.
Ensure accurate generation and delivery of client statements, confirmations, and regulatory disclosures.
Maintain documentation standards for operational procedures, SLAs, and audit trails.
Support compliance with operational regulations including Dodd

📌 Assistant Vice President-Compliance-Line Compliance (Bengaluru)
🏢 EXL
📍 Bengaluru