Compliance Officer

2 weeks ago

Pune, Maharashtra, India Mangalam Placement Private Limited Full time
Job Description

Role : Compliance Officer - AFC & Compliance Testing

Location : Pune

Experience : 7 to 8 Years

Qualification : CS

Job Description :

Perform AFC and Compliance reviews under the direction of the Americas Head of AFC and Compliance Testing to assess and review compliance with legal, regulatory, and internal firm policy requirements applicable to DWS products and services in the Americas. May also support global reviews that cover other Regions outside of the Americas.

Support the development of testing modules and conduct testing across all DWS Americas business activities to evaluate adherence to regulatory requirements.

Build and maintain effective relationships with business line leadership, business line AFC and Compliance, Operations groups, Internal Audit, Testing peers in Deutsche Bank, and other stakeholders and partners throughout the region.

Support the development of a testing universe and review plan based on the results of the annual AFC and compliance risk assessment, in consultation with the Americas Head of AFC and Compliance Testing.

Ensure testing scripts are effectively designed to identify potential control gaps and non-compliance with laws and regulations.

Identify AFC and Compliance risks inherent in a business or process and assess whether the control framework in place is effectively managing these risks.

Determine the root cause of issues and guide the development of effective remediation plans to mitigate the risks.

Support the preparation and distribution of reports to DWS leadership and senior management detailing review findings and recommendations.

Ensure that all findings and recommendations are entered into the appropriate issue tracking system for managing corrective actions effectively and performing follow-up and final validation to ensure proper resolution.

Meet with senior management in AFC and Compliance, lines of business, and other stakeholders to provide an overview of significant risks and control gaps.

Support the Americas Head of AFC and Compliance Testing in drafting periodic reports to senior management and regulators, as well as in various other ad hoc projects.

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