Regulatory Control Senior Advisor

1 week ago


Mumbai, Maharashtra, India 9478 Deutsche India Private Limited Full time
Job Description

The Compliance Department at 9478 Deutsche India Private Limited plays a critical role in protecting the Bank by advising on ethical conduct, identifying regulatory solutions, safeguarding integrity and reputation, and promoting a culture of Compliance.

The position of Regulatory Control Senior Advisor is based in Mumbai and requires the candidate to work in APAC shift, collaborating with the business to develop, review, and enhance procedures to ensure effective and efficient operation of surveillance activities.

  • Lead a team of trade surveillance analysts, providing guidance, training, and mentorship to ensure effective execution of the team's responsibilities.
  • Review and analyze trading patterns, market data, and other relevant information to identify potential risks and violations, working closely with internal audit, legal, and other relevant departments.
  • Collaborate with trading desks, risk management, and other departments to address surveillance alerts and enhance controls, ensuring a comprehensive understanding of the trading environment.
  • Communicate effectively with key stakeholders to ensure a comprehensive understanding of the trading environment and provide guidance and training to the India CTS team.
  • Supervise the India Compliance Surveillance Team and manage projects related to surveillance and testing of applications, ensuring effective and efficient operation of surveillance activities.
Requirements

The ideal candidate should possess at least 10 to 12+ years of experience in Trade / Information Barrier Surveillance, MBA in finance or related field, Chartered Accountant (CA), and advanced degree or relevant certifications.

  • Proven track record of successfully managing and leading a team, with excellent written and verbal communication skills.
  • Ability to convey complex surveillance findings to both technical and non-technical stakeholders, with in-depth knowledge of trading systems, market structure, and surveillance technologies.
  • Good understanding of Market Data for Equity and Derivatives, with a proven ability to analyze and interpret data to identify potential risks and violations.

The successful candidate will be offered training and development opportunities to help them excel in their career, a culture of continuous learning to aid progression, and a range of flexible benefits tailored to their needs.



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