Regulatory Control Support

3 weeks ago

Mumbai, India Deutsche Bank Full time

**Job Title **:Regulatory Control support - Associate**

**Location : Mumbai**

Chief Risk Office (CRO) Divisional Control Office (DCO) is responsible for Internal Control and Governance across Risk Types.

The DCO Regulatory Adherence team are responsible for ensuring that CRO manage regulatory risk and maintain effective regulator relationships throughout the regulatory lifecycle. This covers the identification, assessment and analysis of new (and changes to existing) rules and regulations.

The Regulatory Control Support Analyst is responsible for the support and maintenance of the control frameworks designed to manage the CRO Regulatory Adherence process. This includes regulatory monitoring, surveillance, and internal reporting.

The Regulatory Control Support role works under the direction of Regulatory Control Advisors and/or Senior Regulatory Control Advisor, working with CRO Functional Regulatory teams to accomplish their assigned tasks. They will be required to adhere to operational guidelines and utilize regulatory risk awareness when responding to general inquiries.
- The individual as SME will support the CRO DCO Regulatory Adherence Advisor / Senior Advisor in ensuring that the core regulatory adherence process is properly executed and well governed - using the dedicated Regulatory Adherence workflow tool (RAMS) to help identify, allocate and manage CRO Regulatory itemsThe individual will additionally support efforts to identify, analyse and report on the non-financial risks of the CRO Function, thereby ensuring that Group and Functional standards are consistently applied
- The individual would also support control and reporting activities across the Risk & Control Assessment and other Control Reporting
- The role will have working relationship to all areas within CRO and with a variety of stakeholders.

**Your Key Responsibilities**
- Ensure complete understanding of end-to-end Regulatory Adherence process and framework
- Perform Regulatory Applicability Assessment to determine ownership of Regulatory items to appropriate CRO Functions (Risk Relevancy)
- Upload and initial assessment of Consultation Papers and Regulations to the RAMS tool
- Management of disputes, supersedes and change requests in the RAMS tool
- Perform high quality reporting on the Regulatory Adherence process, also covering Findings Management, Risk and Control Assessment MIReview and preparation of monthly and quarterly packs for Findings and Regulatory Adherence process

**Additional Responsibilities Include**:

- Supporting the implementation of the CRO Inside Information control framework, through oversight of the quarterly key controls. Testing the controls, reviewing exceptions, co-ordinating remediation activities.
- Support delivery of other Functional risk review processes such as the Integrated Risk and Control Assessment, Top Risk Reporting, Anti-Financial Crime Questionnaire, SOx Senior Officer Checklists and Transformation Risk Assessments.
- Analysing findings and risk data, including production of relevant MI or escalation of issues.
- Provide ad hoc data analysis requests.

**Your Skills and Experience**
- Core understanding of Regulatory landscape
- Strong understanding of Financial and Non-Financial Risk management
- Good understanding of Risk Management activities and control frameworks
- Strong analytical skills to interpret and analyse data. This includes performing data analysis.
- The ability to successfully, build strong relationships and work collaboratively with diverse stakeholders across the bank
- Very good Microsoft 365 skills, particularly Excel, PowerPoint, SharePoint

**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

**About us and our teams**

Our values define the working environment we strive to create - diverse, supportive and welcoming of different views. We embrace a culture reflecting a variety of perspectives, insights and backgrounds to drive innovation. We build talented and diverse teams to drive business results and encourage our people to develop to their full potential. Talk to us about flexible work arrangements and other initiatives we offer.

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