Job Description
Job Title - Compliance Testing Officer, AVP
Location: Mumbai
Role Description:
The Control Testing and Assurance (CT&A) team is responsible for providing assurance testing on the design and operating effectiveness of the businesses’ control environment and adherence to applicable regulations and the Bank’s policies. CT&A develops and executes an annual, risk-based testing plan that covers the risk categories owned by Compliance & AFC, across all businesses in the region. The role is for an AVP in CT&A Data Analytics team based out of Bangalore to support the testers globally in planning, delivery and execution with data analysis across Compliance/Financial crime testing reviews.
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)
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
Collaboration with various Compliance stakeholders to ensure the implementation of adequate and effective testing program that meet regulatory requirements.
Supporting the execution of the testing program for L1 controls, the opportunity for travel to other jurisdictions may be available.
Ensuring that all issues raised in CT have adequate remediation plans that are tracked and escalated promptly and appropriately.
Developing relationships with the relevant Business Management offices, Divisional Control teams and Infrastructure functions.
Sharing best practice and learnings with CT colleagues locally/regionally/ globally.
Assisting in the development and maintenance of appropriate Management Information to inform Senior Management of pertinent matters, in line with global Deutsche Bank/Compliance/CT standards.
Liaising regularly with relevant businesses, Business Line Compliance and other colleagues to remain abreast of developments as it pertains to CT; ensuring stakeholders are aware of the likely impact on the controls testing program and implementing changes where necessary; and
Assisting in any ad-hoc projects and tasks as necessary.
Your skills and experience
Good understanding of Compliance Risks and the ways in which the risks will crystallize in practice, so as to be able to test adequacy and effectiveness of the Compliance Risk Management framework implemented to address those risks.
The drive, discipline and enthusiasm to work independently under pressure.
Strong attention to detail and ability to identify changes and impact of any changes to documents, systems and processes as against compliance risks, remediation required, etc.
Good drafting skills, including the ability to record and describe complex issues clearly and succinctly, in a way that are easily understandable by any recipient of the relevant reports.
Able to quickly understand complex issues and set a course of action (that others are prepared to follow) to meet specific goals.
Strong investigative and analytical skills – enquiry, analysis, interviewing, testing.
Strong verbal, written and presentation skills.
Proactive – will seek to find the right solution and options to issues within and outside their specific remit, without being prompted and within an appropriate matrix management framework.
Assertive and engaging and able to quickly build and maintain effective working relationships.
Strong collaborative team player receptive to exchange of ideas and constructive criticism.
Multi-cultural awareness and sensitivity
Ability to work with different review leads and managers within CT.
At least 5 to 7 years’ experience of in Compliance / Compliance Testing/ Audit/Risk and Control in a complex financial services environment, preferably with the same mix as Deutsche Bank.
Technical/product knowledge in relation to the key relevant businesses and activities of DB.
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
https://www.db.com/company/company.htm
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.
We promote good working relationships and encourage high standards of conduct and work performance. We welcome applications from talented people from all cultures, countries, races, genders, ****** orientations, disabilities, beliefs and generations and are committed to providing a working environment free from harassment, discrimination and retaliation.
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.
Location: Mumbai
Role Description:
The Control Testing and Assurance (CT&A) team is responsible for providing assurance testing on the design and operating effectiveness of the businesses’ control environment and adherence to applicable regulations and the Bank’s policies. CT&A develops and executes an annual, risk-based testing plan that covers the risk categories owned by Compliance & AFC, across all businesses in the region. The role is for an AVP in CT&A Data Analytics team based out of Bangalore to support the testers globally in planning, delivery and execution with data analysis across Compliance/Financial crime testing reviews.
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)
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
Collaboration with various Compliance stakeholders to ensure the implementation of adequate and effective testing program that meet regulatory requirements.
Supporting the execution of the testing program for L1 controls, the opportunity for travel to other jurisdictions may be available.
Ensuring that all issues raised in CT have adequate remediation plans that are tracked and escalated promptly and appropriately.
Developing relationships with the relevant Business Management offices, Divisional Control teams and Infrastructure functions.
Sharing best practice and learnings with CT colleagues locally/regionally/ globally.
Assisting in the development and maintenance of appropriate Management Information to inform Senior Management of pertinent matters, in line with global Deutsche Bank/Compliance/CT standards.
Liaising regularly with relevant businesses, Business Line Compliance and other colleagues to remain abreast of developments as it pertains to CT; ensuring stakeholders are aware of the likely impact on the controls testing program and implementing changes where necessary; and
Assisting in any ad-hoc projects and tasks as necessary.
Your skills and experience
Good understanding of Compliance Risks and the ways in which the risks will crystallize in practice, so as to be able to test adequacy and effectiveness of the Compliance Risk Management framework implemented to address those risks.
The drive, discipline and enthusiasm to work independently under pressure.
Strong attention to detail and ability to identify changes and impact of any changes to documents, systems and processes as against compliance risks, remediation required, etc.
Good drafting skills, including the ability to record and describe complex issues clearly and succinctly, in a way that are easily understandable by any recipient of the relevant reports.
Able to quickly understand complex issues and set a course of action (that others are prepared to follow) to meet specific goals.
Strong investigative and analytical skills – enquiry, analysis, interviewing, testing.
Strong verbal, written and presentation skills.
Proactive – will seek to find the right solution and options to issues within and outside their specific remit, without being prompted and within an appropriate matrix management framework.
Assertive and engaging and able to quickly build and maintain effective working relationships.
Strong collaborative team player receptive to exchange of ideas and constructive criticism.
Multi-cultural awareness and sensitivity
Ability to work with different review leads and managers within CT.
At least 5 to 7 years’ experience of in Compliance / Compliance Testing/ Audit/Risk and Control in a complex financial services environment, preferably with the same mix as Deutsche Bank.
Technical/product knowledge in relation to the key relevant businesses and activities of DB.
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
https://www.db.com/company/company.htm
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.
We promote good working relationships and encourage high standards of conduct and work performance. We welcome applications from talented people from all cultures, countries, races, genders, ****** orientations, disabilities, beliefs and generations and are committed to providing a working environment free from harassment, discrimination and retaliation.
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.
💡 Quick Summary
Seeking a career-building opportunity? The Regulatory Control Advisor 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.
