Compliance Testing Officer

2 weeks ago

Mumbai, India Deutsche Bank Full time

**Job Title: CAO - Senior Regulatory Control Advisor, APAC**

**Corporate Title: VP**

**Location: Mumbai**

**Role Description**:
Deutsche Bank AG (the “Bank”) has established the Controls Testing & Assurance department (“CT&A”) as an independent function, reporting to the Chief Administrative Officer (“CAO”). The Compliance Testing (“CT”) team within CT&A is responsible for providing assurance testing on the design and operating effectiveness of the businesses’ control environment and adherence to applicable regulations and the Bank’s policies. CT develops and executes an annual, risk-based testing plan that covers the risk categories owned by Compliance, across all businesses in the region.

The bank's franchise in India provides corporate and transaction banking, lending, focused investment banking as well as retail and private banking to corporations, governments and institutional investors, small and medium-sized companies and private individuals.

**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

**Role Responsibilities & Tasks**:

- Collaboration with various Compliance stakeholders to ensure the implementation of adequate and effective testing program for APAC that meet both BaFin and local regulatory requirements;
- Execution and co-ordination of end to end local mandatory testing including Risk Based Supervision(RBS) Tranche III testing.
- Leading the execution of the testing program for L1 controls, potentially including reviews at the non-hub offices; the opportunity for travel to other jurisdictions may be available
- Ensuring that all issues raised in CT have adequate remediation plans that are tracked and escalated promptly and appropriately;
- Developing relationships with the relevant Business Management offices, Divisional Control teams and Infrastructure functions;
- Sharing best practice and learnings with CT colleagues locally/regionally/globally;
- Managing the development and maintenance of appropriate Management Information to inform Senior Management of pertinent matters, in line with global Deutsche Bank/Compliance/CT standards;
- Engaging regularly with relevant businesses, Business Line Compliance and other colleagues to remain abreast of developments as it pertains to CT; ensuring stakeholders are aware of the likely impact on the controls testing program and implementing changes where necessary; and
- Leading and participating in any ad-hoc projects and tasks as necessary.
- Leading a team, planning their careers, motivating the team members for an execution mindset while also working with a remote team dedicated to DBAG testing in the Desk extension shop

**Skills required**:

- Minimum of 10 years’ experience in a Compliance function primarily in compliance/assurance testing within a Financial Institution or Investment Bank, with 2-3 years people management experience.
- Ability to work within a matrix management structure, effectively working closely with multiple managers.
- Good drafting skills, including the ability to record and describe complex issues clearly and succinctly, in a way that is easily understandable by any recipient of the relevant reports.
- Strong attention to detail and ability to identify changes and impact of any changes to documents, systems and processes in the context of compliance risks, remediation required, etc.
- The drive, discipline and enthusiasm to work independently under pressure.
- Able to quickly understand complex issues and set a course of action (that others are prepared to follow) to meet specific goals.
- Strong verbal, written and presentation skills.
- Proactive - will seek to find the right solution and options to issues within and outside their specific remit, without being prompted and within an appropriate matrix management framework.
- Assertive and engaging and able to quickly build and maintain effective working relationships.
- Strong collaborative team lead receptive to constructive criticism and a leader to facilitate exchange of ideas.
- Multi-cultural awareness and sensitivity.
- Ability to work with different review support and managers within Compliance Testing.
- Proficient in the use of Microsoft Outlook, Excel (i.e. organizing data sets), Word, and PowerPoint.

**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

  • Compliance Testing Officer

    2 weeks ago

    Mumbai, India 9478 Deutsche India Private Limited Full time

    Description : Deutsche Bank AG (the “Bank”) has established the Controls Testing & Assurance department (“CT&A”) as an independent function, reporting to the Chief Administrative Officer (“CAO”). The Compliance Testing (“CT”) team within CT&A is responsible for providing assurance testing on the design and operating effectiveness of the...

  • Compliance Testing Officer

    2 weeks ago

    mumbai, India 9478 Deutsche India Private Limited Full time

    Description : Deutsche Bank AG (the “Bank”) has established the Controls Testing & Assurance department (“CT&A”) as an independent function, reporting to the Chief Administrative Officer (“CAO”). The Compliance Testing (“CT”) team within CT&A is responsible for providing assurance testing on the design and operating effectiveness of...

  • Senior Compliance Manager-Compliance Testing

    1 month ago

    mumbai, India IDFC FIRST Bank Full time

    Role Job Title : Senior Compliance Manager – Compliance Testing Function Department:  Compliance Job Purpose: Responsibilities typically include designing testing strategies, conducting reviews, analysing data, preparing reports, continuous engagement with stakeholders to ensure suitable corrective action. Strong knowledge of banking...

  • Senior Compliance Manager-Compliance Testing

    1 month ago

    Mumbai, India IDFC FIRST Bank Full time

    Role Job Title : Senior Compliance Manager – Compliance Testing Function Department:  Compliance Job Purpose: Responsibilities typically include designing testing strategies, conducting reviews, analysing data, preparing reports, continuous engagement with stakeholders to ensure suitable corrective action. Strong knowledge of banking regulations,...

  • Compliance Officer

    1 month ago

    Mumbai, India Anzen Technologies Pvt Ltd Full time

    Opening for Compliance Officer: - Being into IT Services and solutions, we have requirement for the below profiles. Concern person should have minimum years of experience in the same field. **Roles and Responsibilities** **Job Summary**: Under general direction, an employee in this role will have the following responsibilities: - Shall drive Compliance...

  • Chief Compliance Officer

    1 month ago

    Mumbai, India Citizencredit Co-op Bank Full time

    CITIZENCREDIT Centre, CTS No. 236, Marve Road, Orlem, Malad West, Mumbai 400064 **Chief Compliance Officer** ***Proven leadership experience in Compliance Department - Minimum 10 years experience in the BFSI sector. An understanding of the regulatory landscape, Banking industry knowledge and the ability to assess risks, solve problems, interpret data...

  • Controls Testing

    1 month ago

    Mumbai, Maharashtra, India Deutsche Bank Full time

    **Controls Testing & Assurance, Compliance Testing Tester (Origination & Advisory / Research)**: **Job ID**:R0305102**Full/Part-Time**:Full-time**Regular/Temporary**:Regular**Listed**:2024-03-18**Location**:Mumbai**Position Overview**: **In Scope of Position based Promotions (INTERNAL only)** **Job Title: Controls Testing & Assurance, Anti Financial Crime...

  • Compliance Officer

    2 days ago

    Mumbai, India New India Cooperative Bank Limited Full time

    Job Summary :As Bank Compliance Officer you have to ensure that a bank's policies, procedures, and practices adhere to federal regulations. Compliance Officers are responsible for ensuring that all corporate processes and procedures comply with the law and not only the law a Compliance Officer is also responsible for ensuring that company operations comply...

  • Compliance Officer

    4 weeks ago

    Mumbai, India Skillventory Full time

    **Compliance Officer**: - From 3 to 5 year(s) of experience - ₹ Not Disclosed by Recruiter - Mumbaior **Roles and Responsibilities** - Hiring for a Leading Bank- Preparation and collation of data and MIS - Communication with the Senior / Top Management of the Bank for RBI SSM related indents - Collation of RBI SSM related indents - Assisting in RBI...

  • Avp - Compliance Assurance / Testing

    1 month ago

    Mumbai, India DBS Bank Full time

    **Function of the Department: - ** Compliance Department works closely with the business partners to manage the Bank’s regulatory / compliance risk by balancing its objective to maximise returns against an acceptable risk profile. The compliance department, partners with stakeholders in developing controls and adequate governance framework and also...

  • Compliance Officer

    1 month ago

    Mumbai, India GLOBAL SOLUTIONS Full time

    **POSITION: Compliance Mumbai** Interview : Skype (Kindly share your Skype ID) Location : Sakinaka Metro Mumbai **Mob: +91-6290142813** **Responsibilities**: 1. To handle Statutory HR Labour Compliance. Vendor management. 2. Responsible for Labour Law compliance at PAN India level. 3. Liasoning with labour authorities, regulatory bodies for licences...

  • Avp - Compliance - Testing and Monitoring

    1 month ago

    Mumbai, Maharashtra, India MUFG Bank, Ltd., Mumbai Branch Full time

    **Do you want your voice heard and your actions to count?** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we’re 160,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term...

  • Compliance Officer

    1 week ago

    Mumbai, India Consult Hagnos Full time

    Years of Experience: 6-8 years Qualification-: Qualified CS / LLB Work location: Lower Parel CTC - Best in Industry Job Description - Compliance Officer 1. Monitoring of SEBI (LODR) regulations, SEBI (NCS) regulations, Debenture Trustee regulations, Securitized Debt instruments, SEBI (Alternative Investment Fund) regulations, Companies Act, 2013,...

  • Compliance Officer

    4 weeks ago

    Navi Mumbai, India High Career Full time

    **Designation: Compliance Officer** Experience: 1 -4years Qualification: BCom Age Group : 22 TO 35 only CTC : 15kpm - 35kpm Gender : Any Good Personality Employee: Full time /Permanent job / F2F Interview : with Director for 15 minutes Working Mode : - Monday to Firday (09:30 Am - 06:30 Pm) Work From Office **Work Location**: Naupada, Gaodevi...

  • Chief Compliance Officer

    6 days ago

    Mumbai, India Skillventory Full time

    **Chief Compliance Officer**: - From 12 to 22 year(s) of experience - ₹ Not Disclosed by Recruiter - Mumbaior **Roles and Responsibilities** Regulatory Compliance: The CCO must stay updated on the regulatory environment and ensure that the payments bank complies with all applicable laws, regulations, guidelines, and directives issued by the Reserve Bank...

  • Chief Compliance Officer

    4 weeks ago

    Mumbai, India Mangalam Placement Full time

    **Location** Mumbai **Experience** 12-15 Years **Key Skills** Company Secretary, Compliance, RBI, CSR, Companies Act, Compliance and Secretarial, LLB, ca, cs, Statutory Audit - Finance, Internal Audit **Position: Chief Compliance Officer** **Qualification: CA,CS,LLB** **Experience: 12 to 16 years** **Location: Mumbai** **Job description** Key...

  • Compliance Product Certification Officer

    1 month ago

    Mumbai, India Mantra Softech india Pvt Ltd Full time

    **Job Description for Sr. Compliance Engineer** Job Title : Sr. Compliance Engineer Location : Ahmedabad Qualification : M.E./M.Tech. or B.E./B.Tech. in Electronics & Communication or Electrical & Electronics Experience : 4+ Years About us: Mantra Softech is a global hi-tech manufacturer of biometric products and solutions with in-house design and...

  • Stock Exchange Compliance Officer

    4 weeks ago

    Mumbai, India Dindayal Biyani Group Full time

    Exchange related compliance and documentation (BSE, NSE, MCX ETC) - SEBI compliance for stock brokers. Only PROP. - Other day to day exchange related queries and documentation. - All other compliance and exchange related tasks. - Must know how to communicate with NSE and other exchanges for day to day back office work and compliance. - SEBI circular...

  • Hiring Chief Compliance Officer

    2 days ago

    mumbai, India Financial Service Full time

    Experience : 10+ years Qualification : Graduate / PG in Law Job location : Parel, Mumbai What you will work on: ● Assist the Board to implement the compliance policy ● Identify the compliance risk ● Monitor & test compliance of regulatory/supervisor direction given by performing compliance testing ● Compliance with other regulatory too ●...

  • Hiring Chief Compliance Officer

    2 days ago

    Mumbai, India Financial Service Full time

    Experience : 10+ yearsQualification : Graduate / PG in LawJob location : Parel, MumbaiWhat you will work on:● Assist the Board to implement the compliance policy● Identify the compliance risk● Monitor & test compliance of regulatory/supervisor direction given by performing compliance testing● Compliance with other regulatory too● Constitution of a...