Risk & Control Governance Specialist

7 days ago


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

About the Role


We are looking for a highly skilled Business Integrity Specialist to join our team at 9608 Deutsche India Private Limited, Mumbai Branch.


Key Responsibilities


The successful candidate will be responsible for:



  • Understanding 1st LOD processes and requirements for verification and controls framework
  • Conducting regular reviews on frontend activities such as cross-border, transaction trend, market abuse, churning, inducement, and conflicts of interest
  • Performing data extraction and collation activities relating to Coverage processes
  • Coordinating internal/external audits & inspections, tracking, and following up on audit and SII action points
  • Coordinating internal/external audit and regulatory inquiries
  • Maintaining and tracking various process flow stages/activities and escalating to onshore in case of identified deviations/issues
  • Preparing regular management reports by extracting relevant information from transactional data
  • Performing periodic checklists covering beginning of day, end of day reviews, weekly, monthly, quarterly, and annual activities
  • Collaborating with Onshore COO Teams and Front Office RM's/SA's and Operations
  • Participating in remediation projects involving data collection, updates, tracking, and reporting
  • Sending follow-up emails/chasers to RM/SA in relation to data submission and updates and/or follow-up activities on remediation
  • Managing SharePoint portals to manage MIS Dashboards
  • Assisting in the preparation of Pricing Forum and CAC Forum monthly presentations

Requirements


The ideal candidate will have:



  • University graduate or candidate with 5-6 years of working experience within Wealth Management offices
  • Experience in risk/compliance/control functions in Wealth Management would be an added advantage
  • Keen learner and quick adapter of change and good team player
  • Self-initiative and ability to manage and deliver time-bound activities
  • Willingness to learn and take on additional scope of work with training
  • Good communication skills (oral and written) and interpersonal skills
  • Technology skills: Proficient with Advanced Microsoft Excel (V-Look Up, Pivot Tables, Macro), PowerPoint, and Word, SharePoint, and inclination in working in RPA technologies
  • Knowledge of Wealth Management/PB business and Products Offered

About Us


9608 Deutsche India Private Limited, Mumbai Branch is a leading financial services company, and we offer a range of flexible benefits that you can tailor to suit your needs.


What We Offer


As part of our flexible scheme, here are just some of the benefits that you'll enjoy:



  • Best-in-class leave policy
  • Gender-neutral parental leaves
  • 100% reimbursement under childcare assistance benefit (gender-neutral)
  • 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
  • Complementary Health screening for 35 years and above

Apply Now



  • Navi Mumbai, Maharashtra, India IDFC FIRST Bank Full time

    Job Title: IT Governance SpecialistJob Summary: We are seeking an experienced IT Governance Specialist to join our team at IDFC FIRST Bank. As an IT Governance Specialist, you will be responsible for reviewing policies, product notes, and standard operating procedures from an operational risk perspective.Key Responsibilities:Review of policies, product...


  • Mumbai, Maharashtra, India Acies Consulting Full time

    Job SummaryWe are seeking a highly skilled Senior Risk Governance Specialist to join our team at Acies Consulting. As a key member of our risk advisory team, you will be responsible for assisting in the execution of BFSI and corporate client engagements with a focus on risk governance, internal controls, and operational risk management.Key...


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

    Job Title: Financial Crime Risk SpecialistDivisional Control Office: International Private Bank (IPB)Location: MumbaiAbout the Role:The Financial Crime Risk team is part of the Divisional Control Office, responsible for overseeing non-financial risks, conduct & control topics, and regulatory changes. As a Financial Crime Risk Specialist, you will work across...

  • Controller Manager

    2 weeks ago


    Mumbai, Maharashtra, India Starbucks Full time

    Purpose and Scope of the RoleAs a Risk Governance Manager, you will play a pivotal role in ensuring the effective management of risk across the organization. Your responsibilities will include conducting reviews of policy and procedures, systems, internal control, and documentation of Standard Operating Procedures. You will also be responsible for developing...


  • Mumbai, Maharashtra, India Unity Small Finance Bank Limited Full time

    Governance, Risk, and Compliance RoleThe Unity Small Finance Bank Limited is seeking a skilled Governance, Risk, and Compliance Specialist to join its team. As a key member of the organization, you will be responsible for overseeing the Governance, Risk, and Compliance framework within the bank.ResponsibilitiesConduct Operational Risk reporting, including Op...


  • Mumbai, Maharashtra, India Axis Bank Full time

    The Digital Governance and Risk Management Specialist will play a critical role in ensuring that all regulatory and operational guidelines are adhered to at Axis Bank. This involves working closely with various teams, including product, engineering, audit, risk, and compliance, to ensure that risk assessments are effectively conducted throughout the testing...

  • Chartered Accountant

    3 weeks ago


    Mumbai, Maharashtra, India Acies Consulting Full time

    Key Responsibilities:As a Chartered Accountant - Risk Governance Specialist at Acies Consulting, you will assist the team in executing BFSI and corporate client engagements with a focus on risk governance, internal controls, and operational risk management. Your key responsibilities will include:Providing advisory and documentation to clients in financial...


  • Mumbai, Maharashtra, India Ares Management Corporation Full time

    Job SummaryAres Management Corporation is seeking a highly skilled Cybersecurity Governance Specialist to join our team. As a key member of our Cybersecurity Governance and Compliance team, you will be responsible for developing and implementing security policies, procedures, and standards to ensure the confidentiality, integrity, and availability of our...


  • Mumbai, Maharashtra, India Axis Bank Full time

    Job Title: DBAT: Governance & Monitoring TeamThe Digital Governance and Monitoring team member is responsible for ensuring adherence to regulatory and operational guidelines. This role requires working across multiple platforms, architectures, and technologies, collaborating closely with product, engineering, audit, risk, and compliance teams to conduct...


  • Mumbai, Maharashtra, India Ares Management Corporation Full time

    Job Title: Cybersecurity Governance SpecialistAt Ares Management Corporation, we are seeking a highly skilled Cybersecurity Governance Specialist to join our team. As a key member of our Cybersecurity Governance and Compliance team, you will be responsible for ensuring the effective implementation and maintenance of our cybersecurity program.Key...


  • Mumbai, Maharashtra, India Ares Management Corporation Full time

    Job SummaryAres Management Corporation is seeking a highly skilled Cybersecurity Governance Specialist to join our team. In this role, you will be responsible for developing and implementing security policies, procedures, and guidelines to ensure the confidentiality, integrity, and availability of our systems and data.Key ResponsibilitiesDesign and implement...


  • Navi Mumbai, Maharashtra, India Dimensions HRD Consultants Full time

    Job Title: IT Governance SpecialistDimensions HRD Consultants is seeking an experienced IT Governance Specialist to join our team. As an IT Governance Specialist, you will play a critical role in ensuring the effective governance of our IT systems and processes.Key Responsibilities:Develop and maintain IT governance frameworks and policiesEnsure compliance...


  • Mumbai, Maharashtra, India Unity Small Finance Bank Limited Full time

    Governance Risk And Compliance for Venture Debt & ​​Responsibilities :The Governance Risk and Compliance team plays a vital role in ensuring the Unity Small Finance Bank Limited operates within regulatory guidelines and maintains a robust risk culture. Key responsibilities include:• Conducting Operational Risk reporting, including Op Loss, Near Miss,...


  • Mumbai, Maharashtra, India 0784 Deutsche Bank Aktiengesellschaft, Filiale Mumbai Full time

    Job Title: IT Risk and Regulatory Governance ManagerDescription: We are seeking an experienced IT Risk and Regulatory Governance Manager to join our team at 0784 Deutsche Bank Aktiengesellschaft, Filiale Mumbai. The successful candidate will be responsible for managing all aspects of IT risk and regulatory governance, including developing and implementing...


  • Mumbai, Maharashtra, India Envision Consulting Full time

    About the RoleEnvision Consulting seeks a seasoned Financial Governance Specialist to drive organizational value through risk-based assurance and advisory services. The ideal candidate will have expertise in risk management, internal controls, and compliance, with a strong analytical mindset and excellent communication skills.Key ResponsibilitiesAudit...


  • Mumbai, Maharashtra, India 0784 Deutsche Bank Aktiengesellschaft, Filiale Mumbai Full time

    Job Title: Divisional Risk and Control AnalystDescriptionThe Divisional Risk and Control Analyst plays a critical role in ensuring the effective management of regulatory risks and controls across the organization. This position is responsible for providing data analysis, identifying potential areas of non-compliance or risk, and assessing impact,...


  • Mumbai, Maharashtra, India 9478 Deutsche India Private Limited Full time

    Job Summary9478 Deutsche India Private Limited seeks a highly skilled Risk Reporting Specialist to join our team. As a Risk Reporting Specialist, you will be responsible for ensuring the efficient and effective operation of Operating Committees, Forums, and Councils to demonstrate compliance with the BCBS framework. This will involve conducting periodic...


  • Mumbai, Maharashtra, India Ares Management Corporation Full time

    About the RoleWe are seeking a highly skilled Cybersecurity Governance Specialist to join our team at Ares Management Corporation. As a key member of our Cybersecurity Governance and Compliance team, you will play a critical role in ensuring the effective implementation and maintenance of our cybersecurity program.Key ResponsibilitiesDevelop and implement...


  • Mumbai, Maharashtra, India DBS Bank Full time

    Job SummaryDBS Bank is seeking an experienced Operational Risk and Governance Lead to join our team in Mumbai, India.Key Responsibilities:Proactively manage operational risk within Technology and Operations.Develop and implement effective risk management strategies.Collaborate with senior stakeholders to ensure effective risk governance.Conduct root cause...


  • Navi Mumbai, Maharashtra, India Dimensions HRD Consultants Full time

    Job Purpose : The role entails the responsibility to be a part of IT Governance and Compliance Team of the bank and would be working towards GRC control function : Compliance & Regulatory reporting viz Cyber KRI, TRANCHE, ICAAP etc. Roles & Responsibilities : - Custodian of IT governance and IT process governance framework. - Handling of Regulatory audits...