Risk & Control Governance Specialist
7 days ago
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
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