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Business Supervisory

2 months ago

mumbai, India 9608 Deutsche India Private Limited, Mumbai Branch Full time

Description

:

Regulatory Control is responsible for establishing and maintaining control frameworks designed to manage regulatory, monitoring, surveillance, employee compliance, transaction monitoring and client screening. Work includes:

Implementing the global or regional strategy to establish and maintain the control frameworks designed to manage regulatory, monitoring, surveillance, employee compliance, transaction monitoring and client screening Ensuring operational discipline combined with regulatory risk awareness & investigative skills and warrants that workflows are governed by established policies, clearly defined processes, and escalation points Controls, Testing & Assurance (CT&A), which tests effectiveness of Key Controls and Risk Management Frameworks related to Compliance and Financial Crime Risk Types Providing Quality Assurance (QA)/Monitoring for certain financial crime risk related processes

What we’ll offer you

As part of our flexible scheme, here are just some of the benefits that you’ll enjoy

Best in class leave policy Gender neutral parental leaves 100% reimbursement under childcare assistance benefit (gender neutral) Sponsorship for Industry relevant certifications and education Employee Assistance Program for you and your family members Comprehensive Hospitalization Insurance for you and your dependents Accident and Term life Insurance Complementary Health screening for 35 yrs. and above

Your key responsibilities

Create & publish Daily, Weekly, Monthly, Quarterly surveillance reports and the review of Wealth Management accounts and transactions, as part of 1st Line of Defense reviews. Review the Brokerage and WM account activity including trades, journals, portfolio holdings, solicitations, etc. Review of documentation by client facing partners describing their interactions with clients and the resulting transactions under the Reg BI rule Administrative support of trading system ad hoc reporting and alert review in support of trade and account surveillance Assist branch management with special regulatory ad hoc projects Brainstorm on enhancing the existing projects/processes from an RPA perspective Support the Marketing Review Group facilitation of Forms & Agreements for Wealth Management Supporting the GBSA/Volcker administrative tasks and reporting. Assist in any added projects/process

Your skills and experience

Skills You’ll Need

3-4 years of Regulatory and Brokerage Trade Surveillance experience, preferably for the Wealth Management business Expertise in MS Excel, MS Access, data manipulation Strong understanding of regulatory rules, analytical ability to interpret surveillance reports, and insight to propose new processes and reports Prior experience with regulatory, audit, and compliance functions is preferred Experience with PM1, SunGard/FIS Protegent Surveillance tool and SunGard front-end systems such as NetX360 is a plus

Skills That Will Help You Excel

Excellent communication skills, both written and spoken Expertise in MS Excel / MS Access development is a plus / SharePoint experience is also a plus Critical thinking Self-Motivated Detail Oriented Ability to stay on track to strict reporting schedules and deadlines Independent decision making skills with understanding of when to escalate Adobe experience a plus Excellent team player with good communication and interpersonal skills

How we’ll support you

Training and development to help you excel in your career Coaching and support from experts in your team A culture of continuous learning to aid progression A range of flexible benefits that you can tailor to suit your needs

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