Assistant Vice President – Compliance, Line Compliance

EXL

AVP/Sr. AVP responsible for overseeing regulatory reporting and banking operations in compliance with U.S.

Posted 7/10/2026full-timeBengaluru • 🇮🇳 IndiaLeadWebsite

Tech Stack

Tools & technologies

RPASQL

About the role

Key responsibilities & impact

Overseeing regulatory reporting and banking operations in compliance with U.S. financial regulations.
Managing core banking operations and ensuring timely and accurate filings.
Collaborating with internal and external stakeholders to maintain operational excellence and regulatory compliance.
Serving as a subject matter expert on U.S. regulatory frameworks and reporting obligations.
Participating in regulatory examinations, audits, and inquiries from agencies and internal control partners.
Managing end-to-end processing of financial transactions including ACH, wire transfers, check clearing, and securities settlements.
Ensuring timely and accurate settlement of trades across asset classes.
Monitoring and resolving exceptions, breaks, and unmatched items in trade lifecycle systems.
Overseeing daily, monthly, and quarterly reconciliations of cash, positions, and general ledger accounts.
Implementing and monitoring control frameworks to ensure data integrity and minimize operational risk.
Investigating and resolving reconciliation breaks in coordination with custodians and counterparties.
Supervising processing of corporate actions including dividends, stock splits, mergers, and tender offers.
Maintaining and validating reference data to support accurate transaction processing.
Ensuring accurate generation and delivery of client statements, confirmations, and regulatory disclosures.
Supporting compliance with operational regulations.
Driving automation initiatives using tools like RPA, Alteryx, and workflow orchestration platforms.
Managing relationships with clearing houses and third-party service providers.
Defining and executing control practices ensuring compliance with data quality standards and regulatory policies.
Mentoring junior team members and contributing to talent development.
Leading or supporting implementation of new regulatory requirements and system enhancements.
Driving process improvements and automation initiatives to enhance reporting accuracy and operational efficiency.

Requirements

What you’ll need

Master’s degree in finance, Accounting, Economics, or related field (MBA/CPA preferred).
15+ years in banking or broker-dealer operations with a focus on regulatory reporting.
Strong analytical and data management capabilities.
Proficiency in Excel, SQL, and reporting tools (e.g., Axiom, Alteryx, Power BI).
Familiarity with U.S. financial regulations and reporting standards.
Excellent communication and stakeholder engagement skills.
Preferred Experience:
Exposure to global markets and Banking operations.
Experience with regulatory filings across multiple jurisdictions.
Knowledge of operational risk disciplines and brokerage accounting.

Benefits

Comp & perks

Hybrid options available
Professional development opportunities

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

Regulatory ReportingBanking Operations ManagementData ManagementFinancial Transaction ProcessingReconciliationOperational Risk ManagementAnalytical SkillsReporting ToolsControl FrameworksProcess Improvement

Soft Skills

Communication SkillsStakeholder EngagementMentoring

Certifications

Master’s Degree in FinanceMBACPA