Regulatory Control Senior Advisor

2 weeks ago

Bengaluru, India F335 Deutsche India Private Limited, Bangalore Branch Full time

Description


The Employee Compliance Department protects the Bank by advising on ethical conduct, identifying regulatory solutions, safeguarding integrity and reputation, and promoting, in partnership with the business, a culture of Compliance. Given the increasing regulatory scrutiny and the need to implement a robust and globally consistent control framework, an effective Central Compliance function is a key component to the Department’s success.

As an AVP of Employee Compliance in Central Compliance, the senior person will be responsible for providing centralized services relating to all processes relating to Employee Compliance Operations covering all regions in APAC, UK&I, Germany+EMEA and Americas. The AVP is responsible for interacting with Regional heads including senior management to provide a high quality of service and meet the expected service standards. The AVP needs to have experience in Compliance Operations, should be able to strategically direct the operations within the business group managing the staff, be excellent in stakeholder management, make independent decisions, manage upward and downward communication, and escalate the relevant issues to senior management and Regional stakeholders. Also ability to deliver value / efficiencies through continuous process improvements and automation.

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 child care 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 yrs. and above

Your key responsibilities:

Lead the Personal Account Dealing (PAD) and Account Monitoring pillar within Employee Compliance team in Deutsche India Private Limited (DIPL), oversee the BAU tasks and ensure the Quality assurance includes process control checks are working, manage the process escalations and handle global projects. Effectively manage and supervise PAD and Account monitoring team within DIPL EC Manage all the regions in APAC, UK&I EMEA and US including the regional heads and the staff in DIPL EC team. Build and develop subject matter expertise in team, align the team’s performance and goal in line with the department’s goal Sound technical knowledge on account monitoring and PAD processes Process Management

Manage processing to deliver KPIs /SLA’s on productivity, accuracy and timeliness as a service delivery leader.

Work with global and regional stakeholders to review Desktop Procedures, Key Operating Procedures to ensure no gap in process execution and controls around the process.

Work with IT in change management, driving system improvements as required by the Senior Mgmt of risk.

Cost and Efficiency management

Deliver targets on productivity enhancements and operational efficiencies

Deliver cost reductions per corporate framework of building world leading quality at the most effective and efficient cost structure

Risk Management and other governance responsibilities Liaise with Country Compliance Officers, The business, Operations or Technology in the development, review, testing and/or enhancement of procedures. Ability to multi task, the prospective candidate will be dealing with multiple requests and EC is a critical and time sensitive process. It is critical that requests are managed in an orderly and timely manner by the team and himself/herself. Prepare and present relevant management MI to regional stakeholders and senior management. Provide guidance and training to the Bangalore Employee Compliance team, mentoring and development of staff involved to ensure effective and efficient operation of the activities. Handle the team of Analysts, Senior Analysts, and Associates. Manage adhoc IT projects relating to Employee Compliance, perform UAT testing of related applications, implementation of new systems and interaction with the local IT. Conduct Quality data analysis and generate reports using internal databases Conduct impact analysis of any proposed changes and present the results to the head of DIP EC for discussion Identify, analyse, and interpret trends or patterns in complex data sets.

Your skills and experience:

8 to 10 years of Investment Banking experience in Compliance Operation processes. MBA or equivalent degree or PG in Commerce and Finance. Strong operations background in standard banking products, financial market products, stock exchanges and should be able to interpret policies. Skilled in verbal and written articulation/communication with the senior management comfortable in making presentations and exposure to handle audits. Strong analytical skills, attention to detail, service commitment and solid people management skills, manage communication upward and downward. Innovative approach to work and ability to continuously identify and implement process improvements and automate/create efficiencies The ability to work under pressure and within tight deadlines with excellent quality. Action oriented with a strong focus on completing tasks while working independently and with minimum direction. Well versed in using MS office, PowerPoint, and Excel (Pivots, Vlookup, formulas and data analysis)

How we’ll support you

Training and development to help you excel in your career  Flexible working to assist you balance your personal priorities  Coaching and mentoring from experts in the bank  A culture of continuous learning to aid progression

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