64 Control Framework Jobs

Role Overview: As part of the Global Wealth Management Operations team at UBS in Mumbai, your role will involve supporting various aspects of fraud level one operations. This includes reviewing, investigating, adjudicating alerts, processing/rejecting, tracking and reporting, escalating issues, and navigating through corresponding workflows while ensuring compliance with the applicable risk and control framework. Additionally, you will work within a Change at the Bank and Run the Bank environment to drive continuous improvement by identifying opportunities for enhancing processes, automation initiatives, and increasing digital capabilities. Key Responsibilities: - Support all aspects of frau...

Job Description JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world's most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands. Information about JPMorgan Chase & Co. is available at www.jpmorganchase.com. As a Regulatory Reporting Associate within the Asia Banking Operations team, you w...

You will be joining the Monitoring & Testing function in Hyderabad within the Asset & Wealth Management Strategic Transformation Office. Your role as an Analyst will involve executing monitoring and testing processes to identify potential risks and control weaknesses. By ensuring regulatory compliance, protecting client assets, and improving operational efficiency, you will directly contribute to the firm's success. The Asset & Wealth Management Strategic Transformation Office aims to enhance scalability, drive revenue growth, improve client experience, and elevate controls to optimize the operating platform. The Monitoring & Testing function plays a critical role in mitigating risk within A...

As an Assistant Vice President - IB KYC at our company, you will be responsible for client service and operational execution tasks. You must ensure to control risks and enhance controls in compliance with rules and regulations. Your role will involve following well-defined procedures and making judgments based on practice and previous experience. **Key Responsibilities:** - Provide high value technical KYC support to the KYC team and ensure KYC due diligence is completed as per the Bank's guidelines and UK & Global financial regulations - Lead, manage, and motivate a high performing KYC team focusing on high standards, quality, customer service, controls, execution, and delivery - Support th...

As an Assistant Vice President - IB Reg Readiness & Outreach, you will be responsible for client service and operational execution tasks, focusing on controlling risk and enhancing controls in accordance with rules and regulations. Your role will involve following well-defined procedures, utilizing judgment based on practice and previous experience. Key Responsibilities: - Provide high value technical KYC support to the KYC team and ensure KYC due diligence is completed in line with the Bank's guidelines and UK & Global financial regulations - Lead, manage, and motivate a high performing KYC team with an emphasis on high standards, quality, customer service, controls, execution, and delivery...

Regulatory Reporting for APAC regions including Hongkong, Japan, Australia among other locations. Position Purpose Perform independent controls in order to strengthen the regulatory reporting control framework Perform day-to-day controls on the regulatory reports prior to submission or post submission. Perform reconciliation of Regulatory Reports vis a vis source data / other reports and analyze all resulting breaks. Knowledge of APAC Trade Repositories requirements; should know to prepare BRD documents Coordinate with testing team, BA team and project manager to implement the projects as per the agreed deadline Sponsor and Contribute to all data Quality initiatives working closely with Data...

As a Risk and Internal Control Professional at Siemens Gamesa, a part of Siemens Energy, your primary responsibility is to enhance, uphold, and continuously improve an integrated Risk and Internal Control (RIC) System. Your role will involve supporting the Management in effectively managing risks, ensuring the protection of the organization's assets, maintaining reliable financial reporting, and complying with laws and regulations. Key Responsibilities include: - Develop and maintain a Risk and Control Framework - Analyze Control Objectives for organizational units, identify process owners, verify documentation requirements, and monitor controls implementation - Provide training and support ...

In this role, you are expected to provide an integrated end-to-end credit underwriting, identification, measurement, management, monitoring, and reporting for wholesale credit businesses across the enterprise. The ICM In-Business Quality Assurance function (QA) verifies that established standards and processes are followed and consistently applied. You will execute and participate in the Quality Assurance Reviews (QARs), providing feedback, insights, and observations on any deficiency and areas of improvement. As the ICM In-Business Quality Assurance Data Analytics Vice President, you will engage with the management of the respective ICM business area, Independent Risk, and critical partner ...

Job Title: Senior Compliance Advisory (Insurance domain) Description Experience : 7+ years Job Location :Remote Notice Period: Only Immediate Joiners *Work from home opportunity with 10-20% travel to Pune/Kolkata *JD: Role : -Compliance advisory and/ or compliance monitoring experience (non-financial risks) working within the insurance sector. -Experience conducting controls testing, designing and delivering compliance training, assessing and implementing regulatory changes within the insurance sector (non-financial regulations). -Strong knowledge of conduct regulations applicable to the insurance sector and control processes such as RCSAs, experience conducting impact assessment of regulato...

As an Assistant Vice President SME Resilience Standards and Embedding at HSBC, you will play a crucial role in developing and maintaining the operational resilience strategy and standards. Your key responsibilities will include: - Developing Strategy and Standards: - Support the development, maintenance, and continuous improvement of the operational resilience strategy, standards, and guidance. - Review, assess, and update operational resilience procedures in line with emerging regulations and industry best practices. - Identify opportunities to simplify and optimize resilience processes across the organization. - Building Relationships and Collaboration: - Build strong relationships across ...

As a Transfers Specialist at FIS, you will be reporting to the Transfers Team Manager and primarily responsible for working with counterparties for stock transfers in and out. Your role will involve a high level of client interaction for query resolution and updates, as well as communication with external parties. You will work collaboratively with your team to ensure adherence to procedures and escalate issues appropriately. **Key Responsibilities:** - Reach out to counterparts for stock transfers in and out - Ensure compliance with work group and client-specific procedures - Perform customer and account maintenance as per reports and client workflow solutions - Direct work requests to the ...

Role Overview: As a Divisional Risk and Controls Senior Analyst at Assistant Vice President level in the Private Bank division of Deutsche Bank in Mumbai, India, you will be responsible for overseeing non-financial risks, conduct & control topics, and regulatory changes. Your role will involve collaborating with global teams to deliver key risk and control agendas, enhancing controls, and reducing complexity for the Business. Key Responsibilities: - Support the delivery of Conduct and Supervision topics globally for Private Banking - Assist in executing Global PB Controls for Supervision and ensure Key Controls operate as designed - Analyze data sets based on control requirements and assess ...

As an Analyst Finance CoE at Barclays, your role involves providing financial expertise and support to specific business units or departments within the organization. You will act as a liaison between the finance function and various business units, helping to bridge the gap between financial data and business decisions. **Key Responsibilities:** - Develop and implement business unit financial strategies, plans, and budgets, using insights to evaluate the financial implications of strategic initiatives and recommend appropriate actions. - Create financial models to forecast future performance, assess investment opportunities, evaluate financial risks, and analyze the impact of business decis...

Role Overview: As an Analyst in Cost Management at Barclays, your main responsibility will be to provide financial expertise and support to various departments and business units within the organization. This will involve gathering, analyzing, and interpreting financial data to inform investment decisions, assess financial risks, and support strategic planning. Key Responsibilities: - Develop and implement business unit financial strategies, plans, and budgets, using insights to evaluate the financial implications of strategic initiatives and recommend appropriate actions. - Create financial models to forecast future performance, assess investment opportunities, and evaluate financial risks ...

Role Overview: As the Global Reporting - Liquidity Reporting, VP at Deutsche Bank in Pune, India, you play a crucial role in understanding the profitability of each business activity and managing the bank's financial resources efficiently. You will lead the Liquidity and Treasury Reporting & Analysis team to ensure accurate internal and external liquidity reporting while collaborating with stakeholders to manage liquidity risk effectively. Key Responsibilities: - Lead the liquidity reporting team in external regulatory liquidity reporting and monitoring short-term liquidity metrics. - Act as a process owner for strategic sourcing and assess the impact on liquidity risk reports. - Develop str...

Role Overview: As an Analyst in Treasury Operations on Custodian/Nostro/Clearer accounts for Controls Team, your main responsibility will be to identify and resolve medium to high-level issues, detect and define process enhancements regularly, and prepare, attend, and contribute to process governance. You will also be required to manage intermediate level case studies and challenges with minimal supervision, perform root-cause analysis, and resolve any processes issues when requested. Additionally, you will need to identify, develop, and implement process and project enhancements, understand the control framework, and have proven knowledge of functional, domain, and operational risk manageme...

As a Fund Accounting Manager at Fidelity International, you will play a crucial role in supporting the Global Fund Accounting teams in producing Net asset values, regulatory reports, tax data, and distributions. Your responsibilities will include: - Day to day management of a team of fund accountants - Recruitment, training, development, coaching, and motivation of team members - Ensuring all fund accounting controls are completed and accounting records are accurate and up-to-date - Inputting daily accounting data accurately into the books and records of the funds - Producing key deliverables to SLAs - Reviewing productivity and efficiency of the team with a focus on controls, procedures, an...

Role & responsibilities : Plan, coordinate, and execute internal and external audits related to ISO 27001, ISO 9001, PCI DSS, SOC 2 Type II, and SAR Collaborate with external auditors, regulatory bodies, and third-party vendors to facilitate audit readiness and ensure timely closure of findings Maintain and enhance the Information Security Management System (ISMS) and Quality Management System (QMS) controls and documentation. Drive third-party risk assessments and vendor due diligence aligned with compliance standards and fintech sector expectations Coordinate with engineering, DevOps, IT, SecOps, Product, and legal teams to map controls, gather evidence, and ensure policy enforcement Monit...

**Role Overview:** Embark on a transformative journey as a BATS Order QA Lead at Barclays, where you'll spearhead the evolution of the digital connectivity landscape, driving innovation and excellence. You'll harness cutting-edge technology to revolutionize digital offerings, ensuring unparalleled customer experiences. **Key Responsibilities:** - Strong understanding of FX trade lifecycle, order management systems, and post-trade flows. - Ability to engage early in the SDLC to refine requirements and define test strategies. - Experience working with business, BA, control partners (e.g., Compliance, Risk, Audit). - Proven experience in designing and implementing scalable automation frameworks...

As an individual in Quality Assurance, Monitoring & Testing at our company, you will be responsible for assessing outcomes from activities and processes against applicable requirements to enhance risk management quality. This includes conducting quality testing for business function quality control and transformation lead quality control post activity/process completion. Your role will involve developing and executing Monitoring and Testing for controls, such as control design assessment, operational effectiveness design, monitoring/testing tool assessment, and executing monitoring/testing tools to evaluate key controls addressing defined risks. Your key responsibilities will include: - Ensu...

Job Summary This role could be based in India and Malaysia. When you start the application process you will be presented with a drop down menu showing all countries, please ensure that you select a country where the role is based Work with In-Country teams / Compliance / Tech and passing on key messages to team. Drive improvement in processes and services based on gained knowledge. Migrate and run BAU for In-Country Reporting function. All aspects of tasks related to prevention, detection, assurance, and oversight of Regulatory reporting function. Timely responses to external and internal queries. Build tactical and strategic processes and collaborate with Technology and Change teams to deli...

As a Vice President- Client Account and Settlement Instructions Maintenance Lead at Barclays, your role entails managing day-to-day business operations related to Product onboarding and Standard Settlement Instruction setup in various systems. You will be leading a team to ensure comprehensive, timely, and accurate operational delivery, providing oversight for senior leadership, service buyers, audit activity, and regulators. **Key Responsibilities:** - Manage day-to-day business operations related to Product onboarding and Standard Settlement Instruction setup - Lead a team using a range of products and utilities to ensure comprehensive, timely, and accurate operational delivery - Provide o...

Position Overview In Scope of Position based Promotions (INTERNAL only) Job Title: ORM New Business Office - Mumbai Risk Centre, Associate Location: Mumbai, India Role Description Operational Risk Management (ORM) is a department within the Chief Risk Office division. As a Second Line of Defence function, ORM is responsible for oversight across all aspects of non-financial risk (NFR), including risk identification and assessment, control framework, risk appetite and scenario analysis. The role will sit within the newly formed New Business Office, whose core mandate is to govern risk identification, analysis, management, and approval relating to new business, new products, initiatives, and ma...

Position Overview Job Title: Divisional Risk and Controls Senior Analyst, Assistant Vice President Location: Mumbai, India Role Description Business Overview / Division: The Private Bank (PB) combines Deutsche Bank's private clients business in Germany and its international business with private and commercial clients together with Wealth Management in a single division. In both the domestic German market and worldwide the Private Bank provides high-quality advice to broad range of clients and a broad range of financial services in many countries ranging from day-to-day banking services right through to advisory services for sophisticated Private Banking and Wealth Management clients. In Ita...

As a Process Developer/Management Trainee/Assistant Manager for US Domestic and Global Trades at Genpact, your primary responsibility will be trade support, settlement, and processing. You should have a sound understanding of the trade lifecycle from custody to broker to client. Your role involves loading, matching, and settling trade activities, as well as following up with custodians, brokers, and clients to resolve unmatched trades and handling claims from counterparties. **Key Responsibilities:** - Experience with US Domestic Trade Life-cycle is desirable. - Good understanding of financial products like Bonds, Mutual Funds, MBS, SWAPS, Equities, Stock Lending, and Derivatives is required...