Business Supervisory - Mumbai, Maharashtra, India - Deutsche Bank

Deutsche Bank
Deutsche Bank
Verified Company
Mumbai, Maharashtra, India

1 month ago

Deepika Kaur

Posted by:

Deepika Kaur

beBee Recuiter
Description

Business Supervisory - Surveillance and BSO Data/Admin support:


Job ID:

R0327937
Full/Part-Time:Full-time
Regular/Temporary:Regular
Listed:
Location:Mumbai
Position Overview:

Job Title:
Business Supervisory - Surveillance and BSO Data/Admin support Analyst/Associate

Location:
Bangalore

Role Description:

Regulatory Control is responsible for establishing and maintaining control frameworks designed to manage regulatory, monitoring, surveillance, employee compliance, transaction monitoring and client screening


Work includes:

  • Implementing the global or regional strategy to establish and maintain the control frameworks designed to manage regulatory, monitoring, surveillance, employee compliance, transaction monitoring and client screening
  • Ensuring operational discipline combined with regulatory risk awareness & investigative skills and warrants that workflows are governed by established policies, clearly defined processes, and escalation points
  • Controls, Testing & Assurance (CT&A), which tests effectiveness of Key Controls and Risk Management Frameworks related to Compliance and Financial Crime Risk Types
  • Providing Quality Assurance (QA)/Monitoring for certain financial crime risk related processes

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

  • 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

  • 34 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 and SunGard frontend 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
  • Excellent team player with good communication and interpersonal skills

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:
Our values define the working environment we strive to create - diverse, supportive and welcoming of different views. We embrace a culture reflecting a variety of perspectives, insights and backgrounds to drive innovation.

We build talented and diverse teams to drive business results and encourage our people to develop to their full potential.

Talk to us about flexible work arrangements and other initiatives we offer.


Visit Inside Deutsche Bank to discover more about the culture of Deutsche Bank including Diversity, Equity & Inclusion, Leadership, Learning, Future of Work and more besides.

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