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Regulatory Control Analyst - Associate

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Deutsche Bank

Nov 2

Applications are closed

  • Job
    Full-time
    Mid & Senior Level
  • Government & Politics
    Legal
  • Bangalore

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Requirements

  • Ability to identify and manage financial crime risks arising from regular reviews, event driven reviews, new client adoptions and new product extensions
  • Strong communication, organizational, and interpersonal skills with the confidence to engage and advise professionally and persuasively with stakeholders.
  • Proven analytical skills, problem solving ability, and a control mindset paired with meticulous attention to detail.
  • Able to raise sensitive or potentially contentious issues in a constructive manner to reach appropriate solutions.
  • Deadline driven with the ability to multi-task and work in a fast-paced environment.
  • Ability to handle time-sensitive projects while focusing on the quality of work delivered.
  • Self-motivated and proactive team player who takes ownership of assignments, thrives in a teamwork-oriented environment, and works well under pressure.
  • Ability to work with various stakeholders across all 1LoD and 2Lod and manage expectations, without impacting the quality output.
  • Must be a graduate with any stream with at least 4-5 years’ experience in AFC or a related control related function within an international organization/bank in the Financial Services industry with extensive experience with the KYC process.
  • People having a degree or diploma in AML/KYC will be preferred.
  • A strong track record in risk and regulatory matters, ideally including:
  • Good understanding of AFC risks and typologies in order to identify areas or instances of potential AFC risks and to address them appropriately.
  • Experience of relevant regulations/laws and related circulars
  • Financial Crime function expertise and should be considered a Subject Matter Expert (SME) in the Financial Crime area on relevant laws and regulations.
  • Should be flexible with respect to work timings.
  • Should be comfortable in working on MS Office tools using word and excel.

Responsibilities

  • Review and approve client escalations for Remediation, Regular Review, New Product Extensions and Event Driven Reviews within the agreed SLAs
  • Ensure the generated client risk rating is in line with expectations & procedures.
  • Assess the risk factors identified through the due diligence provided by client lifecycle management (CLM)
  • Apply subject matter expertise judgment as to relevance and/or materiality of Escalation triggers; i.e., can the overall assessment be defended
  • Engage with appropriate BLAFC specialist team where further escalation is required e.g., local BLAFC, AFBC, Sanctions, BIU etc.
  • Liaise with CLM to obtain additional information or request ACO to conduct additional research where required
  • Ensure outcome and rational is clearly documented within the KYC systems and / or escalated for further guidance
  • Ensure that KYC reviews undertaken are in line with the KOPs guidelines and processes
  • Contributing to the wider global KYC Centre of Excellence programme, identifying best practices
  • Deciding on new or existing clients that are escalated or deciding to escalate further to Governance Forums for review.
  • Defining and implementing strategic TOM in-line with local/regional/global standards and change programmes.

FAQs

What is the job title for this position?

The job title for this position is Regulatory Control Analyst - Associate.

What are the primary responsibilities of the Regulatory Control Analyst?

The primary responsibilities include reviewing and approving client escalations for various KYC processes, assessing risk factors, engaging with specialist teams, and ensuring that KYC reviews comply with guidelines and processes.

What qualifications are required for this role?

Candidates must be graduates with at least 4-5 years of experience in Anti-Financial Crime (AFC) or a related control function within the financial services industry, with extensive experience in the KYC process.

Is experience in AML/KYC preferred?

Yes, a degree or diploma in AML/KYC is preferred.

What skills are necessary for this position?

Necessary skills include strong communication and organizational abilities, proven analytical skills, attention to detail, the ability to manage financial crime risks, and the ability to work collaboratively with various stakeholders.

Are there specific software skills required?

Yes, candidates should be comfortable using Microsoft Office tools, specifically Word and Excel.

What benefits are offered to employees in this position?

Benefits include a best-in-class leave policy, gender-neutral parental leave, reimbursement under childcare assistance, support for industry certifications, comprehensive hospitalization insurance, and an employee assistance program, among others.

Is flexibility in work hours expected?

Yes, candidates should be flexible with respect to work timings.

What kind of training and support will I receive?

You will receive training and development to help you excel in your career, coaching and support from experts in your team, and access to a culture of continuous learning.

Where is this position located?

This position is located in Bangalore, India.

What is the work culture like at Deutsche Bank regarding collaboration?

The work culture promotes collaboration, encouraging employees to act responsibly, think commercially, and work together to excel and celebrate successes as part of the Deutsche Bank Group.

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Deutsche Bank

Finance
Industry
10,001+
Employees
1869
Founded Year

Mission & Purpose

At Deutsche Bank, we give original thinkers the space and support they need to shine. Merging local knowledge with global vision, in-depth insight with industry-leading digital expertise, if you’re an innovator by nature, we can help you to unleash your potential. We see things differently at Deutsche Bank – and we’re proud of our fresh perspective. Today, we’re driving growth through our strong client franchise, investing heavily in digital technologies, prioritising long-term success over short term gains, and serving society with ambition and integrity. Wherever your interests lie – in investment banking, trading, private wealth, asset management, retail banking - or many of the infrastructure functions that support them – you’ll discover resources, training and opportunities designed to keep you ahead of the curve. Intelligence has no boundaries: we welcome high-achieving, talented individuals from any background.

Benefits

  • Home office flexible work time

    We support flexible working, whether that’s working from home, flexible working hours or even part-time working. However, it is important to note that opportunities will vary depending on your particular role.

  • Annual leave & more

    Employees are entitled to generous leave allowance (details should be discussed with local recruitment teams). Additionally, paid leave is granted for special events including, wedding/civil partnerships, compassionate leave, paternity leave or when you’re caring for a sick child. On top of the statutory 36 months of parental leave (Germany), Deutsche Bank offers an extra six months of parental leave – providing you have been with us for more than three years.

  • Support & Counselling

    Whether you need professional help or personal advice: Deutsche Bank offers a comprehensive support network ranging from career advice, mental health support, assistance in finding childcare or social care for the elderly.

  • Health insurance

    You can choose between statutory or a range of private health insurance options. Our statutory health insurance ‘Betriebskrankenkasse BKK’ is available exclusively to Deutsche Bank employees and their families. Aside from shorter waiting times for appointments, BKK provides access to expert medical consultations over the phone and regular health checks.

  • Sick pay

    Beyond statutory sick pay, Deutsche Bank will also cover the difference between your net salary and the statutory sickness benefit allowance. The duration of the sick pay will be dependent on the number of years you’ve worked with us.

  • Pension

    We understand that pensions can be a dry topic; however here at Deutsche Bank, we are dedicated to simplifying the complexities, so that all of our people can enjoy their lives beyond work. To provide a great foundation for your future, we provide our people with a comprehensive pension scheme that delivers all the security and all the flexibility you need.

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