Regulatory Control Senior Advisor
1 week ago
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.
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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Regulatory Control Senior Advisor
4 weeks ago
Mumbai, Maharashtra, India 9478 Deutsche India Private Limited Full time### Job DescriptionWe are seeking a highly skilled Regulatory Control Senior Advisor to join our team at 9478 Deutsche India Private Limited. As a key member of our Compliance Department, you will play a critical role in protecting the Bank by advising on ethical conduct, identifying regulatory solutions, safeguarding integrity and reputation, and promoting...
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Regulatory Control Senior Advisor
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Mumbai, Maharashtra, India 9478 Deutsche India Private Limited Full timeJob SummaryThe Compliance Department at 9478 Deutsche India Private Limited protects the Bank by advising on ethical conduct, identifying regulatory solutions, safeguarding integrity and reputation, and promoting a culture of Compliance. Given the increasing regulatory scrutiny and the need to implement a robust and globally consistent control framework, an...
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Regulatory Control Senior Advisor
3 weeks ago
Mumbai, Maharashtra, India 9478 Deutsche India Private Limited Full timeJob DescriptionThe Compliance Department at 9478 Deutsche India Private Limited plays a vital role in protecting the Bank by advising on ethical conduct, identifying regulatory solutions, safeguarding integrity and reputation, and promoting a culture of Compliance.Given the increasing regulatory scrutiny and the need to implement a robust and globally...
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