Safeguarding Client Assets and Funds Avp

3 weeks ago

Bengaluru Karnataka, India Deutsche Bank Full time

**Safeguarding Client Assets and Funds AVP**:
**Job ID**:R0309582**Full/Part-Time**:Full-time**Regular/Temporary**:Regular**Listed**:2024-03-14**Location**:Bangalore**Position Overview**:
**Job Title
- Regulatory Advisory Senior Analyst, AVP**

**Location
- Bangalore, India**

**Role Description**

Deutsche Bank is a client-centric global universal bank. One that is leading change and innovation in the industry - championing integrity, sustainable performance and innovation with our clients, and redefining our culture and relationships with each other.

MiFID II places a **regulatory obligation **on firms who hold financial instruments belonging to clients, to implement arrangements to:

- Safeguard the ownership **rights **of clients, especially in the event of an insolvency.
- **Prevent the use of a client’s financial instruments on own account **except with the client’s express consent.

In this respect, the Group Client Assets Oversight Officers across Deutsche Bank Group is appointing a position to:

- Manage and oversee the effectiveness of governance, policies, controls and data management frameworks, designed to achieve compliance with the MiFID II Safeguarding of Client Assets and Funds (SCAF) requirements,
- Liaise with the local CAOO, support them and provide information to Group CAOO on the legal entities adherence to the regulatory requirements.

**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**
- Maintains and operates the governance, control and oversight framework, including third-party oversight.
- Supports the Group CAOO with regard to SCAF reporting.
- Drafts, implements and maintains appropriate policies and escalation procedures, and provides oversight to ensure that underlying teams have appropriate procedures and controls to mitigate SCAF risks.
- Assesses and responds to the impact of changes in SCAF regulations.
- Reviews SCAF reports produced for each in-scope Legal Entity.
- Organizes the SCAF Risk Forum to review all escalations to determine whether a SCAF breach has occurred.
- Designs and consolidates effective risk metrics for reporting to CAOOs. Works with Divisions and Functions to build underlying metrics, including effective KPIs to support effective monitoring of DB’s adherence to the regulatory requirements.
- Maintains SCAF data quality standards.
- Oversees resolution pack production and operates assurance processes over the resolution pack at Legal Entity level.
- Advises on any SCAF queries and/or requests for information.
- Adheres to and promotes the company values and ethics framework, ensuring that the SCAF Team function operates to the same high standards of conduct.
- Interfaces with local SCAF Team members and CAOOs of DBs legal entities.
- Promoting regulatory awareness within the COO Organization and Business Division which supports the Bank
- Supporting the regional people agenda.

**Your skills and experience**
- Experience in regulatory topics good understanding of BaFin requirements
- Analytical skills, flexible regarding production problem solving
- Excellent communication skills, fluent in English and local language (written/verbal) as appropriate
- Able to work in virtual global teams and a matrix organization
- Ability to work in fast paced environment, keep pace with technical innovation and maintain a broad understanding of the COO offering
- Open minded, able to share information, knowledge and expertise with peers & team members
- Excellent organizational skills with the ability to manage and prioritize multiple tasks
- Excellent communication skills including negotiating and influencing skills
- Proven track record of delivering operational change / supporting operational/regulatory projects
- A good understanding of Banking securities industry and regulations Broad Banking/Financial Services industry experience

**Education / Certification**

Master Degree from an accredited college or university (or equivalent) &/or relevant practical experience.

**Business Competencies**
- Industry Knowledge - advanced
- Product Knowledge - advanced
- Financial Management - experienced
- Risk Management - experienced

**Technical Competencies**
- Business Analysis - advanced
- Operational Management - advanced
- Client Services - experienced

**Working experience**

10 years within banking industry and control governance function

**How we’ll support you**
- Training and development to help you excel in your career
- Coaching and support from

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