Job Description
Job Title: DDP Division, Deutsche Bank AG – Associate/AVP
Role Description:
The Regulatory Management Advisor provides support in managing relationships and engagement with regulatory authorities. They assist in the facilitation of meetings between the business divisions and/or infrastructure functions and external regulators and delegates. They support Senior Regulatory Management Advisors and/or Regulatory Management Leads in activities such as providing and recording information from these meetings as well as managing internal commentary and metrics resulting from the banks interaction with regulators.
Key Responsibilities:
• To ensure timely issuance of FPI certificate with due adherence to SEBI, RBI and other applicable regulations and ensuring it is in compliance with the Banks policies and procedures.
• To undertake all tasks relating to FPI registration and renewal.
• To communicate effectively with clients and resolve their queries to smoothen the FPI registration and renewal process.
• To update the clients with the information requested changes in the market by the regulators i.e. SEBI, RBI etc.
• To perform required regulatory reporting and other ancillary activities as per extant rules and regulations in a timely manner
• To process Renewals, Surrender of applications and Static data updations, in a timely manner, and to ensure SEBI Investor Charter does not breach.
• Maintaining and developing good relationship with the client.
• To liaise with all regulators and all stake holders to smoothen the registration process.
• To manage Regulatory and Internal Audits, Inspections with nil observations.
• Ensure review of documents during Transition Activity with zero miss outs.
Operational efficiency
• Monitor TAT and improve as applicable.
• Publish key metrics highlighting volumes.
• Anticipate roadblocks, add-on work and escalation as required necessary.
• Handle related inquiry quickly and professionally to reduce any delay in the process.
• Review process and controls periodically to ensure risk management.
• Work on Automation of processes
Efficient & effective coordination with all internal teams
• Communicate and coordinate with all internal functions/stakeholders involved in the Registration process, such as Client Lifecycle Management (CLM), DDP Support team, Client facing team (RTM) , Relationship Managers, AML Officer, Compliance Officer, Sales etc.
• Oversee internal teams involved with the process and ensure defined KPIs are met.
• Coordinate prioritization of onboarding / FPI Registration cross-border and related matters.
Focus on quality
• Continually seek ways to improve the process and journey by leveraging on client & internal feedback
• Perform/analyse root cause for discrepancies in documentation and look for opportunities to improve
• Work towards industrialising processes and introduce automation where possible.
• Ensure no observations from quality control teams / Concurrent Audit.
Develop with high performing team
• Set a high performance culture.
• Promote and set a good conduct.
Hard Skills & Knowledge
• Well versed with DDP activities as per extant regulations
• Team Player
• Good knowledge of Capital Market
• Good connect with regulators like SEBI & RBI
• KYC ,AML & Regulatory requirements
• Excellent analytical and problem solving skills (Project Management experience is a plus)
• Proficient with Advanced Microsoft Excel
• History of achievements in similar roles
Soft Skills
• Ability to work collaboratively across functions
• Highly motivated to uplift client experience
• Advanced communication skills - face to face, verbal, and written
• Excellent interpersonal skills
• Self-motivated and rigorous to ensure quality
• Ability to work under pressure and tight deadlines
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 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:
https://www.db.com/company/company
Role Description:
The Regulatory Management Advisor provides support in managing relationships and engagement with regulatory authorities. They assist in the facilitation of meetings between the business divisions and/or infrastructure functions and external regulators and delegates. They support Senior Regulatory Management Advisors and/or Regulatory Management Leads in activities such as providing and recording information from these meetings as well as managing internal commentary and metrics resulting from the banks interaction with regulators.
Key Responsibilities:
• To ensure timely issuance of FPI certificate with due adherence to SEBI, RBI and other applicable regulations and ensuring it is in compliance with the Banks policies and procedures.
• To undertake all tasks relating to FPI registration and renewal.
• To communicate effectively with clients and resolve their queries to smoothen the FPI registration and renewal process.
• To update the clients with the information requested changes in the market by the regulators i.e. SEBI, RBI etc.
• To perform required regulatory reporting and other ancillary activities as per extant rules and regulations in a timely manner
• To process Renewals, Surrender of applications and Static data updations, in a timely manner, and to ensure SEBI Investor Charter does not breach.
• Maintaining and developing good relationship with the client.
• To liaise with all regulators and all stake holders to smoothen the registration process.
• To manage Regulatory and Internal Audits, Inspections with nil observations.
• Ensure review of documents during Transition Activity with zero miss outs.
Operational efficiency
• Monitor TAT and improve as applicable.
• Publish key metrics highlighting volumes.
• Anticipate roadblocks, add-on work and escalation as required necessary.
• Handle related inquiry quickly and professionally to reduce any delay in the process.
• Review process and controls periodically to ensure risk management.
• Work on Automation of processes
Efficient & effective coordination with all internal teams
• Communicate and coordinate with all internal functions/stakeholders involved in the Registration process, such as Client Lifecycle Management (CLM), DDP Support team, Client facing team (RTM) , Relationship Managers, AML Officer, Compliance Officer, Sales etc.
• Oversee internal teams involved with the process and ensure defined KPIs are met.
• Coordinate prioritization of onboarding / FPI Registration cross-border and related matters.
Focus on quality
• Continually seek ways to improve the process and journey by leveraging on client & internal feedback
• Perform/analyse root cause for discrepancies in documentation and look for opportunities to improve
• Work towards industrialising processes and introduce automation where possible.
• Ensure no observations from quality control teams / Concurrent Audit.
Develop with high performing team
• Set a high performance culture.
• Promote and set a good conduct.
Hard Skills & Knowledge
• Well versed with DDP activities as per extant regulations
• Team Player
• Good knowledge of Capital Market
• Good connect with regulators like SEBI & RBI
• KYC ,AML & Regulatory requirements
• Excellent analytical and problem solving skills (Project Management experience is a plus)
• Proficient with Advanced Microsoft Excel
• History of achievements in similar roles
Soft Skills
• Ability to work collaboratively across functions
• Highly motivated to uplift client experience
• Advanced communication skills - face to face, verbal, and written
• Excellent interpersonal skills
• Self-motivated and rigorous to ensure quality
• Ability to work under pressure and tight deadlines
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 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:
https://www.db.com/company/company
💡 Quick Summary
Seeking a career-building opportunity? The DDP Division position is now open for candidates interested in the Bank Jobs sector. This role in Mumbai offers a professional environment and growth potential.
Requirement Snapshot: Candidates should possess basic communication skills, a proactive attitude, and the ability to work in a team. Experience in Bank Jobs is a plus.
