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Wealth Management Risk Specialist
1 month ago
Job Overview
We are seeking a highly skilled Wealth Management Risk Specialist to join our team at 9608 Deutsche India Private Limited, Mumbai Branch. As a key member of our organization, you will play a crucial role in ensuring the highest standards of risk management and compliance within our Wealth Management division.
Key Responsibilities:
- Risk Management and Compliance: You will be responsible for understanding and verifying first-line of defense (LOD) processes and requirements for verification and controls framework. This will involve conducting regular reviews on frontend activities such as cross-border transactions, trend analysis, market abuse, churning, inducement, and conflicts of interest.
- Data Extraction and Collation: You will perform data extraction and collation activities related to coverage processes, ensuring accuracy and timeliness.
- Audit Coordination: You will coordinate internal and external audits, track and follow up on audit and Special Investigative Unit (SII) action points, and maintain and track various process flow stages/activities.
- Reporting and Communication: You will prepare regular management reports by extracting relevant information from transactional data, and send follow-up emails/chasers to Relationship Managers/Sales Assistants (RM/SA) regarding data submission and updates.
- Technology Skills: Proficiency with Advanced Microsoft Excel (V-Look Up, Pivot Tables, Macro), PowerPoint, Word, SharePoint, and inclination towards working in Robotic Process Automation (RPA) technologies is essential.
Your Qualifications:
- Education: University graduate or candidate with 5-6 years of working experience within Wealth Management offices.
- Experience: Experience in risk/compliance/control functions in Wealth Management would be an added advantage.
- Skills: Keen learner, quick adapters of change, good team player, self-initiative, ability to manage and deliver time-bound activities, willingness to learn and take on additional scope of work with training.
- Tech Skills: Good communication skills (oral and written) and interpersonal skills, technology skills: proficient with Advanced Microsoft Excel (V-Look Up, Pivot Tables, Macro), PowerPoint, Word, SharePoint, and inclination towards working in RPA technologies.
About Us:
We offer a range of benefits that you can tailor to suit your needs, including flexible working arrangements, sponsorship for industry-relevant certifications and education, employee assistance program for you and your family members, comprehensive hospitalization insurance for you and your dependents, accident and term life insurance, complimentary health screening for 35 yrs. and above.
Career Growth:
We provide 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, and flexible working arrangements to assist you balance your personal priorities.
