Compliance Officer

1 week ago

Pune, Maharashtra, India Deutsche Bank Full time ₹ 6,00,000 - ₹ 18,00,000 per year
Job Title: Compliance Officer - AFC & Compliance Testing

Corporate Title: AVP

Location: Pune, India

Role Description
  • The DWS Anti-financial Crime (AFC) and Compliance Testing team, part of the AFC and Compliance Department, conducts reviews to evaluate the firm's compliance with applicable laws and regulations and to ensure that control gaps are escalated and mitigated through remedial actions.
  • The Compliance Officer will support the Americas Head of AFC and Compliance Testing in performing reviews, tests, and branch inspections designed to provide assurance that the internal control framework is effective in mitigating AFC and Compliance risk within DWS in the Americas Region.
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
  • Perform AFC and Compliance reviews under the direction of the Americas Head of AFC and Compliance Testing to assess and review compliance with legal, regulatory, and internal firm policy requirements applicable to DWS products and services in the Americas. May also support global reviews that cover other Regions outside of the Americas.
  • Support the development of testing modules and conduct testing across all DWS Americas business activities to evaluate adherence to regulatory requirements.
  • Build and maintain effective relationships with business line leadership, business line AFC and Compliance, Operations groups, Internal Audit, Testing peers in Deutsche Bank, and other stakeholders and partners throughout the region.
  • Support the development of a testing universe and review plan based on the results of the annual AFC and compliance risk assessment, in consultation with the Americas Head of AFC and Compliance Testing.
  • Ensure testing scripts are effectively designed to identify potential control gaps and non-compliance with laws and regulations.
  • Identify AFC and Compliance risks inherent in a business or process and assess whether the control framework in place is effectively managing these risks.
  • Determine the root cause of issues and guide the development of effective remediation plans to mitigate the risks.
  • Support the preparation and distribution of reports to DWS leadership and senior management detailing review findings and recommendations.
  • Ensure that all findings and recommendations are entered into the appropriate issue tracking system for managing corrective actions effectively and performing follow-up and final validation to ensure proper resolution.
  • Meet with senior management in AFC and Compliance, lines of business, and other stakeholders to provide an overview of significant risks and control gaps.
  • Support the Americas Head of AFC and Compliance Testing in drafting periodic reports to senior management and regulators, as well as in various other ad hoc projects.
Your skills and experience

The skills desired for this position include:
  • Demonstrated strong knowledge of regulations governing financial institutions including the BSA, USA PATRIOT Act, sanctions, and financial services rules and regulations of the FRB, FINRA, SEC, NFA, and CFTC.
  • Demonstrated strong knowledge of asset management related products and services (e.g., broker dealer, investment advisory, fixed income, and equities), particularly a bank-affiliated asset manager.
  • Experience in Compliance, Testing or Internal Audit functions within financial services.
  • Excellent interpersonal and communication skills and experience with the ability to interact effectively with internal and external stakeholders, including regulators and senior management.
  • Demonstrated strong analytical and investigative skills.
  • Demonstrated strong critical thinking skills including the ability to identify the root cause of issues.
  • Demonstrated strong organizational and project management skills and diligence.
  • Demonstrated strong ability to manage multiple compliance reviews and projects at the same time and meet quality standards and deadlines.
Qualifications:
  • BA or BS Degree necessary.
  • JD or MBA 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.
We welcome applications from all people and promote a positive, fair and inclusive work environment.

  • Compliance Officer

    1 week ago

    Pune, Maharashtra, India Deutsche Bank Full time ₹ 1,04,000 - ₹ 1,30,878 per year

    Job Title: Compliance Officer - AFC & Compliance Testing Corporate Title: Associate Location: Pune, India Role DescriptionThe DWS Anti-financial Crime (AFC) and Compliance Testing team, part of the AFC and Compliance Department, conducts reviews to evaluate the firm's compliance with applicable laws and regulations and to ensure that control gaps...

  • Compliance Officer

    2 weeks ago

    Pune, Maharashtra, India Deutsche Bank Full time ₹ 9,00,000 - ₹ 12,00,000 per year

    The DWS Anti-financial Crime (AFC) and Compliance Testing team, part of the AFC and Compliance Department, conducts reviews to evaluate the firms compliance with applicable laws and regulations and to ensure that control gaps are escalated and mitigated through remedial actions.The Compliance Officer will support the Americas Head of AFC and Compliance...

  • ESIC & PF Compliance Officer

    2 days ago

    Pune, Maharashtra, India MAA Pranaam Suvidha Limited Full time ₹ 8,00,000 - ₹ 12,00,000 per year

    We are looking for ESIC & PF Compliance officer. Key responsibilities include ESIC Compliance, PF Compliance, Record keeping & documentation, Compliance monitoring, Employee communication & Support, Coordination with HR & Finance.

  • Compliance Officer

    2 weeks ago

    Pune, Maharashtra, India Deutsche Bank Full time ₹ 5,00,000 - ₹ 15,00,000 per year

    Role DescriptionThe DWS Anti-financial Crime (AFC) and Compliance Testing team, part of the AFC and Compliance Department, conducts reviews to evaluate the firms compliance with applicable laws and regulations and to ensure that control gaps are escalated and mitigated through remedial actions.The Compliance Officer will support the Americas Head of AFC and...

  • Chief Compliance Officer

    1 week ago

    Pune, Maharashtra, India Prachay Group Full time ₹ 12,00,000 - ₹ 36,00,000 per year

    About The JobJob Description:Act as the compliance leader, strategist and subject matter expert assessing and advising on existing and emerging regulatory compliance requirements across the organization.Developing the annual compliance work plan that reflects the organizations unique characteristics.Periodically revising the compliance plan in light of...

  • Chief Compliance Officer

    4 days ago

    Pune, Maharashtra, India Prachay Group Full time ₹ 20,00,000 - ₹ 25,00,000 per year

    Job DescriptionAct as the compliance leader, strategist and subject matter expert assessing and advising on existing and emerging regulatory compliance requirements across the organization.Developing the annual compliance work plan that reflects the organization's unique characteristics.Periodically revising the compliance plan in light of changes.Guiding in...

  • Monitoring Compliance Officer

    1 week ago

    Pune, Maharashtra, India Crédit Agricole CIB Full time ₹ 6,00,000 - ₹ 18,00,000 per year

    Job DescriptionSummary of the position:You will be joining the Markets Regulatory Compliance Monitoring department, which is a critical function within CACIB, responsible for the identification, assessment, monitoring and reporting of the Bank's compliance risks.CplGlobal Compliance (CPL)'s mission is to contribute to ensuring compliance of the activities...

  • Senior Compliance Officer

    2 weeks ago

    Pune, Maharashtra, India 157 CAREERS Full time ₹ 1,50,000 - ₹ 20,00,000 per year

    Senior Security and Compliance LeadDetailsLocation – Pune (Hybrid)Working closely with CTO, CEO and Engineering TeamExperience Level: 5-7 yrs.Department: Security & ComplianceWhat we are looking for (Skills)Bachelor's degree in computer science, Information Security, Data Science, or a related field5+ years of experience working with Audit/compliance,...

  • Compliance Program Manager

    1 week ago

    Pune, Maharashtra, India Zendesk Full time ₹ 9,00,000 - ₹ 12,00,000 per year

    Job DescriptionZendesk software was built to bring a sense of calm to the chaotic world of customer service. Today we power billions of conversations with brands you know and love. Zendesk believes in offering our people a fulfilling and inclusive experience. Our hybrid way of working enables us to purposefully come together in person, at one of our many...

  • Associate IT Security and Compliance

    2 weeks ago

    Pune, Maharashtra, India Japheth Full time ₹ 9,00,000 - ₹ 12,00,000 per year

    Manage banking audits, track points, coordinate closure. Implement RBI, Cert-In advisories. Assist auditors, maintain policies, automate compliance, enhance security. Required Candidate profileExp in IT sec audits & compliance.ISO 27001 Lead Implementer, CISSP, or CISM.Skilled in ISO 27001, 22301, PCI DSS, SOC Type 2, and ISO.technical writing & MS office...