Risk and Compliance Specialist

2 weeks ago

Mumbai, Maharashtra, India 9608 Deutsche India Private Limited, Mumbai Branch Full time

Description

9608 Deutsche India Private Limited, Mumbai Branch

The COO team at Deutsche Bank Private Bank plays a crucial role in partnering with coverage to drive key business initiatives and risk and control activities. The successful candidate will ensure adherence to the risk and control governance framework, in line with regulatory requirements, internal policies, and audit standards. This includes reviewing processes and scaling up controls to address gaps identified or highlighted by regulators.

Key Responsibilities

  1. Understand and verify first line of defense processes and requirements for controls framework.
  2. Conduct regular reviews of frontend activities, including cross-border transactions, transaction trends, market abuse, and conflicts of interest.
  3. Extract and collate data related to coverage processes.
  4. Coordinate internal and external audits, track, and follow up on audit and SII action points.
  5. Support internal and external audit and regulatory inquiries.
  6. Maintain and track process flow stages and escalate deviations or issues to onshore teams.
  7. Prepare regular management reports by extracting relevant information from transactional data.
  8. Perform periodic checklists, including beginning of day, end of day, weekly, monthly, quarterly, and annual activities.
  9. Collaborate with onshore COO teams, front office RM's/SAs, and operations.
  10. Participate in remediation projects, involving data collection, updates, tracking, and reporting.
  11. Send follow-up emails and chasers to RM/SA for data submission and updates or follow-up activities on remediation.
  12. Manage SharePoint portals to maintain MIS dashboards.
  13. Assist in preparing Pricing Forum and CAC Forum monthly presentations.

Requirements

  1. University graduate or 5-6 years of experience in Wealth Management operations.
  2. Experience in risk, compliance, or control functions in Wealth Management would be an added advantage.
  3. Self-initiative and ability to manage and deliver time-bound activities.
  4. Willingness to learn and take on additional scope of work with training.
  5. Good communication and interpersonal skills.
  6. Proficient with Microsoft Excel, PowerPoint, Word, and SharePoint, with an inclination to work with RPA technologies.
  7. Knowledge of Wealth Management/PB business and products offered.

What We Offer

  1. Training and development to help you excel in your career.
  2. Flexible working arrangements to balance personal priorities.
  3. Coaching and support from experts in your team.
  4. A culture of continuous learning to aid progression.
  5. A range of flexible benefits tailored to your needs.

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