Business Supervisory Office

**Business Supervisory Office - Surveillance and BSO Data/Admin support**:
**Job ID**:R0360993**Full/Part-Time**:Full-time**Regular/Temporary**:Regular**Listed**:2024-11-28**Location**:Mumbai**Position Overview**:
**Job Title**:Business Supervisory Office - Surveillance and BSO Data/Admin support**

**Corporate Title: Associate**

**Location: Mumbai, India**

**Role Description**
- Deutsche Bank Wealth Management helps High Net-worth Individuals and certain institutions worldwide to protect and grow their wealth, offering traditional and alternative investments across all major asset classes.
- WM also provides customized wealth management solutions and private banking services to those high-net-worth individuals and families. Deutsche Bank is investing heavily in technology, which means we are investing in you. Join us here, and you’ll constantly be looking ahead.

**What we’ll offer you**

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)
- 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 yrs. and above

**Your key responsibilities**

**What You’ll Do**
- Create & publish Daily, Weekly, Monthly, Quarterly surveillance reports and the review of Wealth Management accounts and transactions, as part of 1st Line of Defense reviews.
- Review the Brokerage and WM account activity including trades, journals, portfolio holdings, solicitations, etc.
- Review of documentation by client facing partners describing their interactions with clients and the resulting transactions under the Reg BI rule
- Administrative support of trading system ad hoc reporting and alert review in support of trade and account surveillance
- Assist branch management with special regulatory ad hoc projects
- Brainstorm on enhancing the existing projects/processes from an RPA perspective
- Support the Marketing Review Group facilitation of Forms & Agreements for Wealth Management
- Supporting the GBSA/Volcker administrative tasks and reporting.
- Assist in any added projects/process

**Your skills and experience**

**Skills You’ll Need**
- 3-4 years of Regulatory and Brokerage Trade Surveillance experience, preferably for the Wealth Management business
- Expertise in MS Excel, MS Access, data manipulation
- Strong understanding of regulatory rules, analytical ability to interpret surveillance reports, and insight to propose new processes and reports
- Prior experience with regulatory, audit, and compliance functions is preferred
- Experience with PM1, SunGard/FIS Protegent Surveillance tool (equivalents like LZ Sentinel, Aladdin, Charles River, JPM Trac, etc.) and SunGard front-end systems such as NetX360 is a plus

**Skills That Will Help You Excel**
- Excellent communication skills, both written and spoken
- Expertise in MS Excel / MS Access development is a plus / SharePoint experience is also a plus
- Critical thinking
- Self-Motivated
- Detail Oriented
- Ability to stay on track to strict reporting schedules and deadlines
- Independent decision making skills with understanding of when to escalate
- Adobe experience a plus

**How we’ll support you**
- 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.
- A range of flexible benefits that you can tailor to suit your needs.

**About us and our teams**

Please visit our company website for further information:
We strive for a culture in which we are empowered to excel together every day. This includes acting responsibly, thinking commercially, taking initiative and working collaboratively.
Together we share and celebrate the successes of our people. Together we are Deutsche Bank Group.