Regulatory Control Senior Advisor

1 month ago

Bengaluru, Karnataka, India F335 Deutsche India Private Limited, Bangalore Branch Full time

Job Summary

F335 Deutsche India Private Limited, Bangalore Branch is seeking a highly skilled Regulatory Control Senior Advisor to join our team. As a key member of our Employee Compliance Department, you will play a critical role in advising on ethical conduct, identifying regulatory solutions, and safeguarding integrity and reputation.

Key Responsibilities

  • Lead the Personal Account Dealing (PAD) and Account Monitoring pillar within Employee Compliance team in Deutsche India Private Limited (DIPL), oversee the BAU tasks and ensure the Quality assurance includes process control checks are working, manage the process escalations and handle global projects.
  • Effectively manage and supervise PAD and Account monitoring team within DIPL EC
  • Manage all the regions in APAC, UK&I EMEA and US including the regional heads and the staff in DIPL EC team.
  • Build and develop subject matter expertise in team, align the team's performance and goal in line with the department's goal
  • Sound technical knowledge on account monitoring and PAD processes
  • Process Management Manage processing to deliver KPIs /SLA's on productivity, accuracy and timeliness as a service delivery leader. Work with global and regional stakeholders to review Desktop Procedures, Key Operating Procedures to ensure no gap in process execution and controls around the process. Work with IT in change management, driving system improvements as required by the Senior Mgmt of risk.
  • Cost and Efficiency management Deliver targets on productivity enhancements and operational efficiencies Deliver cost reductions per corporate framework of building world leading quality at the most effective and efficient cost structure
  • Risk Management and other governance responsibilities
  • Liaise with Country Compliance Officers, The business, Operations or Technology in the development, review, testing and/or enhancement of procedures.
  • Ability to multi task, the prospective candidate will be dealing with multiple requests and EC is a critical and time sensitive process. It is critical that requests are managed in an orderly and timely manner by the team and himself/herself.
  • Prepare and present relevant management MI to regional stakeholders and senior management.
  • Provide guidance and training to the Bangalore Employee Compliance team, mentoring and development of staff involved to ensure effective and efficient operation of the activities. Handle the team of Analysts, Senior Analysts, and Associates.
  • Manage adhoc IT projects relating to Employee Compliance, perform UAT testing of related applications, implementation of new systems and interaction with the local IT.
  • Conduct Quality data analysis and generate reports using internal databases
  • Conduct impact analysis of any proposed changes and present the results to the head of DIP EC for discussion
  • Identify, analyse, and interpret trends or patterns in complex data sets.

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