12 Mifid Jobs

The Role: We are looking for a someone who can provide exceptional customer experience to a broad range of clients and ensure the fast and effective management of client workflows to join the S&P Cappitech Support team. The ideal candidate will be comfortable in communicating with clients, answering regulatory queries, and resolving daily reporting issues. Ideally the candidate will have some experience in EMIR, MiFID, ASIC, CFTC, SEC and\or SFTR. The role is client facing and requires a high degree of technical competence. Responsibilities: Dealing with customer enquiries and requests and managing them efficiently and in a timely manner until resolution Helping clients understand how the solution works and how to resolve reporting issues Involvement in client training and site visits Escalate issues in a timely manner and ensure follow and resolution. Assist in validation or UAT for issue resolution Working on Client specific projects What We're looking for: Experience Client facing experience Financial services experience preferred particularly securities finance Knowledge of transaction reporting desired Ability to grasp concepts of a technical nature Advanced MS Excel skills preferred Understanding of SQL, API Knowledge of other vendor systems useful Personal competencies Personal impact Strong analytical skills Be proactive and able to work independently Ability to listen, learn quickly and demonstrate initiative Good attention to detail Focused on delivery Communication Must be an excellent written and verbal communicator Excellent interpersonal skills Able to easily adapt communication style in different situations Committed to high quality output Highly motivated, disciplined, confident and a team player. The ability to adjust to shifting priorities is a must Ability to collaborate effectively with team

Responsible for requirements gathering, workflow and gap analysis for Portfolio Solutions projects, focusing on equity/derivatives trade processing, clearing, and reporting Work with global teams and coordinate with trading, ops, risk, and compliance Required Candidate profile Proven experience in investment/trading, OMS (Fidessa pref), use case dev & translating business needs into tech solutions. Skilled in Agile, JIRA, SDLC, testing, data analysis, full trade lifecycle.

Hiring Risk & Compliance Actimize with experience range 3 to 8 Years of experience Skills: KYC,AML, Actimize, Mantas, Client Risk Rating, KYC, Screening, Enhance Due Diligence (EDD) & Customer Due Diligence (CDD), CCAR, Basel III, GDPR, HKMA, MIFID, Bank Secrecy Act, OFAC, UAT Education: Btech/BE, BCA/MCA,Bsc/MSc

Job Title: Know Your Client (KYC) Analyst, NCT Role Description Operations provides support for all of Deutsche Banks businesses to enable them to deliver transactions and processes to clients. Our people work in established global financial centers such as London, New York, Frankfurt and Singapore, as well as specialist development and service centers in locations including Bucharest, Moscow, Pune, Dublin and Cary. We process payments in excess of a trillion euros across the banks platforms, support thousands of trading desks and enable millions of banking transactions, share trades and emails every day A dynamic and diverse division, our objective is to make sure that all our services are executed in a timely and professional manner, that risk is minimized and that the client experience is positive. We are proud of the professionalism of our people, and the work they do. In return, we offer excellent career development opportunities to foster skills and talent. In accordance with Anti-Money Laundering Requirements, Banks, such as Deutsche Bank AG ("DB"), are obliged to perform Know-your-client (KYC) reviews on all new clients they adopt. These checks and reviews are made in strict accordance with regulatory requirement and the banks internal policies. The project involves verification of the Client data, performing due diligence checks on the Clients, reviewing KYC documentation performing the risk assessment of the Client, liaising with the Business/Compliance, advising on KYC requirements and signing off on new client adoptions. The Reg & Tax analyst role is an operations function where you will be involved in reviewing various regulatory documents related to clients to ensure that all the regulatory requirements are met and the bank is in compliance. Your key responsibilities Responsible for verification of Client data Perform due diligence of new and existing clients covering a wide range of different client types including; Listed and Regulated, small/medium/ large private and public companies as well as more complex structures such as; SPVs, Co-operatives, Foundations and Funds, Governments, Joint Ventures, etc. Verifying KYC documentation of the Clients to be adopted/reviewed Perform the risk assessment of the Client to be adopted/reviewed Signing off on new client adoptions and periodic reviews Manage New Client Adoption or Periodic Review stream, to ensure that all requests are approved in accordance with regulatory requirements and the banks internal policies Manage exception ensuring that all SLAs defined with the Business on timeliness and quality are adhered Your skills and experience 3-4 years of relevant work experience (AML/KYC/compliance related) within corporate financial services industry Conduct client profile reviews for customer accounts as a Quality Reviewer / Checker is a must Experience in working directly with Business & Clients (Outreach) is a plus Understanding of Control, Compliance, Investigation/chasing functions in banks Familiarity AML/KYC regulations and industry guidelines (FSA, JMLSG, 3rd EU Money Laundering Directive, MiFID) Ability to interpret regulatory guidelines and assessing risk scores and entity types Ability to interpreting alerts Ability to identifying trends and inconsistencies Understanding of end to end KYC process

Role Description Operations provides support for all of Deutsche Banks businesses to enable them to deliver transactions and processes to clients. Our people work in established global financial centers such as London, New York, Frankfurt and Singapore, as well as specialist development and service centers in locations including Bucharest, Moscow, Pune, Dublin and Cary. We process payments in excess of a trillion euros across the banks platforms, support thousands of trading desks and enable millions of banking transactions, share trades and emails every day A dynamic and diverse division, our objective is to make sure that all our services are executed in a timely and professional manner, that risk is minimized and that the client experience is positive. We are proud of the professionalism of our people, and the work they do. In return, we offer excellent career development opportunities to foster skills and talent. In accordance with Anti-Money Laundering Requirements, Banks, such as Deutsche Bank AG ("DB"), are obliged to perform Know-your-client (KYC) reviews on all new clients they adopt. These checks and reviews are made in strict accordance with regulatory requirement and the banks internal policies. The project involves verification of the Client data, performing due diligence checks on the Clients, reviewing KYC documentation performing the risk assessment of the Client, liaising with the Business/Compliance, advising on KYC requirements and signing off on new client adoptions. The Reg & Tax analyst role is an operations function where you will be involved in reviewing various regulatory documents related to clients to ensure that all the regulatory requirements are met and the bank is in compliance. Your key responsibilities Responsible for verification of Client data Perform due diligence of new and existing clients covering a wide range of different client types including; Listed and Regulated, small/medium/ large private and public companies as well as more complex structures such as; SPVs, Co-operatives, Foundations and Funds, Governments, Joint Ventures, etc. Verifying KYC documentation of the Clients to be adopted/reviewed Perform the risk assessment of the Client to be adopted/reviewed Signing off on new client adoptions and periodic reviews Manage New Client Adoption or Periodic Review stream, to ensure that all requests are approved in accordance with regulatory requirements and the banks internal policies Manage exception ensuring that all SLAs defined with the Business on timeliness and quality are adhered Your skills and experience 3-4 years of relevant work experience (AML / KYC / compliance related) within corporate financial services industry Conduct client profile reviews for customer accounts as a Quality Reviewer / Checker is a must Experience in working directly with Business & Clients (Outreach) is a plus Understanding of Control, Compliance, Investigation/chasing functions in banks Familiarity AML/KYC regulations and industry guidelines (FSA, JMLSG, 3rd EU Money Laundering Directive, MiFID) Ability to interpret regulatory guidelines and assessing risk scores and entity types Ability to interpreting alerts Ability to identifying trends and inconsistencies Understanding of end to end KYC process.

Operations provides support for all of Deutsche Banks businesses to enable them to deliver transactions and processes to clients. Our people work in established global financial centers such as London, New York, Frankfurt and Singapore, as well as specialist development and service centers in locations including Bucharest, Moscow, Pune, Dublin and Cary. We process payments in excess of a trillion euros across the banks platforms, support thousands of trading desks and enable millions of banking transactions, share trades and emails every day A dynamic and diverse division, our objective is to make sure that all our services are executed in a timely and professional manner, that risk is minimized and that the client experience is positive. We are proud of the professionalism of our people, and the work they do. In return, we offer excellent career development opportunities to foster skills and talent. In accordance with Anti-Money Laundering Requirements, Banks, such as Deutsche Bank AG ("DB"), are obliged to perform Know-your-client (KYC) reviews on all new clients they adopt. These checks and reviews are made in strict accordance with regulatory requirement and the banks internal policies. The project involves verification of the Client data, performing due diligence checks on the Clients, reviewing KYC documentation performing the risk assessment of the Client, liaising with the Business/Compliance, advising on KYC requirements and signing off on new client adoptions. The Reg & Tax analyst role is an operations function where you will be involved in reviewing various regulatory documents related to clients to ensure that all the regulatory requirements are met and the bank is in compliance. Your key responsibilities Responsible for verification of Client data Perform due diligence of new and existing clients covering a wide range of different client types including; Listed and Regulated, small/medium/ large private and public companies as well as more complex structures such as; SPVs, Co-operatives, Foundations and Funds, Governments, Joint Ventures, etc. Verifying KYC documentation of the Clients to be adopted/reviewed Perform the risk assessment of the Client to be adopted/reviewed Signing off on new client adoptions and periodic reviews Manage New Client Adoption or Periodic Review stream, to ensure that all requests are approved in accordance with regulatory requirements and the banks internal policies Manage exception ensuring that all SLAs defined with the Business on timeliness and quality are adhered Your skills and experience 3-4 years of relevant work experience (AML/KYC/compliance related) within corporate financial services industry Conduct client profile reviews for customer accounts as a Quality Reviewer / Checker is a must Experience in working directly with Business & Clients (Outreach) is a plus Understanding of Control, Compliance, Investigation/chasing functions in banks Familiarity AML/KYC regulations and industry guidelines (FSA, JMLSG, 3rd EU Money Laundering Directive, MiFID) Ability to interpret regulatory guidelines and assessing risk scores and entity types Ability to interpreting alerts Ability to identifying trends and inconsistencies Understanding of end to end KYC process

Job Description Title French Compliance Administrator - GCSS Operations Department General Counsel Shared Services Location India Reports To Assistant Manager, GCSS Operations Level Grade 2 We're proud to have been helping our clients build better financial futures for over 50 years. How have we achieved this? By working together - and supporting each other - all over the world. So, join our General Counsel Shared Services team and feel like you're part of something bigger. About your team General Counsel (GC) is a trusted advisor to all parts of FIL, providing high-value independent advisory and assurance expertise through our specialist teams. GC comprises of Legal, Risk, Compliance, Tax, and Public Policy & Strategic Relationship Management. General Counsel Shared services (GCSS) function is a global centre of expertise currently being built out in Dalian and India. It provides operational support and services to the General Counsel function. About your role The successful candidate will be responsible for supporting compliance oversight of FIL Gestion activities providing proactive support to French Compliance team & support to the areas outlined below. He/she will be familiar with all local regulations for funds and ensure they are followed. About you Work with local business partners to facilitate on-going compliance of their systems/procedures/processes with relevant statutory, contractual and internal regulations, and provide general compliance support. Compiling compliance reports for the entities in France. This will include the creation of written monthly and quarterly reports for the firms senior management. It will also include liaising with internal departments to ensure that their regulatory provisions have been undertaken and escalate issues of concern to line management. Assist compliance team with carrying out regulatory reporting on AML, Due diligence and Risk to the French regulator - AMF. Collate and draft presentation material for the FIL France monthly and quarterly meetings. Track new employee and compliance-related mandatory trainings. Update fund information on regulatory portals. Update and maintain policies in French, ensure efficiency of procedures by updating them, if necessary to keep up to date with regulatory developments Manually handling and reconciling duplicate reporting of personal transactions undertaken by FIL employees Assist the RCCI in France Carry out administrative tasks (log training, reporting, breaches, pay invoices) Help in the preparation of local committees (compliance and risk) Support the RCCI in providing technical training to the business on regulations and regulatory developments. Maintain Compliance Monitoring Calendar; conduct reviews; document findings conclusions and provide recommendations and ensure the follow-up. Ensure the record keeping is done through B-wise tool. Experience and Qualifications Required Experience of 2-3 years in a legal or compliance environment Pro-active team player with the ability to work independently. Knowledge in asset management industry is required. Knowledge in French regulations (Rglement Gnral AMF). Fluency in French (Level C2) and English both written and oral and able to communicate at more senior levels. Strong organisational skills, with the ability to prioritise, multi-task and meet deadlines while working in a high-pressure environment. Fluency in English and French (speaking and writing), any further language would be an asset. Feel rewarded For starters, well offer you a comprehensive benefits package. Well value your wellbeing and support your development. And well be as flexible as we can about where and when you work finding a balance that works for all of us. It’s all part of our commitment to making you feel motivated by the work you do and happy to be part of our team. For more about our work, our approach to dynamic working and how you could build your future here, visit careers.fidelityinternational.com. For more about our work, our approach to dynamic working and how you could build your future here, visit careers.fidelityinternational.com.

Job Description: Job Title: KYC Associate Location: Mumbai, India Role Description The Know Your Client (KYC) Analyst focuses on client onboarding (COB) and exceptions in line with regulatory standards and jurisdictions. The KYC Analyst provides regular communication to senior bank stakeholders on changes in KYC, Anti Money Laundering (AML) and Anti Financial Crime (AFC) areas and ensures any changes required are implemented with minimum disruptions. The KYC Analyst also assists the banks clients, managing all KYC and account opening requirements with appropriate governance and controls. They operate in an environment of strict adherence to Standard Operating procedures (SOPs) and Operation Level Agreements (OLAs) to achieve accurate and timely account opening to help execute trades. Your key responsibilities Responsible for verification of Client data Perform due diligence of new and existing clients covering a wide range of different client types including; Listed and Regulated, small/medium/ large private and public companies as well as more complex structures such as; SPVs, Co-operatives, Foundations and Funds, Governments, Joint Ventures, etc. Verifying KYC documentation of the Clients to be adopted/reviewed Perform the risk assessment of the Client to be adopted/reviewed Signing off on new client adoptions and periodic reviews Manage New Client Adoption or Periodic Review stream, to ensure that all requests are approved in accordance with regulatory requirements and the banks internal policies Manage exception ensuring that all SLAs defined with the Business on timeliness and quality are adhered Your skills and experience 3-4 years of relevant work experience (AML/KYC/compliance related) within corporate financial services industry, Research/Analytics role in other Banks / KPOs etc Understanding of Control, Compliance, Investigation/chasing functions in banks Familiarity AML/KYC regulations and industry guidelines (FSA, JMLSG, 3rd EU Money Laundering Directive, MiFID) Ability to interpret regulatory guidelines and assessing risk scores and entity types Ability to interpreting alerts Ability to identifying trends and inconsistencies Understanding of end to end KYC process

Role Description Operations provides support for all of Deutsche Banks businesses to enable them to deliver transactions and processes to clients. Our people work in established global financial centers such as London, New York, Frankfurt and Singapore, as well as specialist development and service centers in locations including Bucharest, Moscow, Pune, Dublin and Cary. We process payments in excess of a trillion euros across the banks platforms, support thousands of trading desks and enable millions of banking transactions, share trades and emails every day A dynamic and diverse division, our objective is to make sure that all our services are executed in a timely and professional manner, that risk is minimized and that the client experience is positive. We are proud of the professionalism of our people, and the work they do. In return, we offer excellent career development opportunities to foster skills and talent. In accordance with Anti-Money Laundering Requirements, Banks, such as Deutsche Bank AG ("DB"), are obliged to perform Know-your-client (KYC) reviews on all new clients they adopt. These checks and reviews are made in strict accordance with regulatory requirement and the banks internal policies. The project involves verification of the Client data, performing due diligence checks on the Clients, reviewing KYC documentation performing the risk assessment of the Client, liaising with the Business/ Compliance, advising on KYC requirements and signing off on new client adoptions. The Reg & Tax analyst role is an operations function where you will be involved in reviewing various regulatory documents related to clients to ensure that all the regulatory requirements are met and the bank is in compliance. Your key responsibilities Responsible for verification of Client data Perform due diligence of new and existing clients covering a wide range of different client types including; Listed and Regulated, small/ medium/ large private and public companies as well as more complex structures such as; SPVs, Co-operatives, Foundations and Funds, Governments, Joint Ventures, etc. Verifying KYC documentation of the Clients to be adopted/reviewed Perform the risk assessment of the Client to be adopted/reviewed Signing off on new client adoptions and periodic reviews Manage New Client Adoption or Periodic Review stream, to ensure that all requests are approved in accordance with regulatory requirements and the banks internal policies Manage exception ensuring that all SLAs defined with the Business on timeliness and quality are adhered Your skills and experience 1-9 years years of relevant work experience (AML/ KYC/compliance related) within corporate financial services industry, Research/Analytics role in other Banks KPOs etc Understanding of Control, Compliance, Investigation/chasing functions in banks Familiarity AML/KYC regulations and industry guidelines (FSA, JMLSG, 3rd EU Money Laundering Directive, MiFID) Ability to interpret regulatory guidelines and assessing risk scores and entity types Ability to interpreting alerts Ability to identifying trends and inconsistencies Understanding of end to end KYC process.

Overview : The role is to perform a number of key functions that support and control the business in complying with a number regulatory requirements such as MiFID II, EMIR, CFTC and SFTR . This role forms part of a team in Bangalore that supports Regulatory reporting across all asset classes: Rates, Credit, Commodities, Equities, Loans and Foreign Exchange. Key responsibilities include day to day exception management MIS Compilation and User Acceptance Testing (UAT). Your key responsibilities Understanding and defining the Transaction Reporting logic which exist front to back, and how new rules and regulations impact operations Ensure accurate, timely and completeness of reporting Working closely with our technology development teams to design system solutions, the aim to automate as much of the exceptions process as possible Maintain our reporting integrity and compliance with the regulations by highlighting any gaps or errors in the systems or trade logic and actively look to improve/develop them further Support the design and conceptualization of new business solution options and articulates identified impacts and risks Perform root cause analysis on exceptions with ability to investigate & manage escalation of any significant issues found through testing, rejection remediation or any other stream to senior management to ensure transparency exists in our controls Drive and lead a team culture of high performance, ownership, integrity and passion to deliver against the Banks strategic targets Your skills and experience 8-12 years work experience within an Ops role within financial services. Experience in MIFID, SFTR, EMIR / CFTC or MMSR, preferred in-depth knowledge in more than two regulations Understanding of Transaction reporting and regulatory reporting framework Ability to work in virtual teams and matrixed organizations, often across multiple business cultures and organizational disciplines Self-starter with the ability to work well both in a team and individually Ability to effectively maintain, coordinate, prioritize multiple tasks and projects Liaising with internal and external teams to propose developments to the current architecture in order to ensure greater compliance with Regulatory requirements and drive improved STP processing of our reporting across all asset classes Ability to share information, transfer knowledge and expertise to wider team members and management Experienced knowledge of business analysis methods and tools Performing and/or managing various exception management functions across reporting for all asset classes, across multiple jurisdictions An analytical/logical mind set with a good approach to problem solving.

Hi We are looking to hire someone for the role of Capital Markets Regulatory Reporting. Please go through the JD and Apply Job Description: 3-6 years of total experience with relevant experience in AML/KYC and capital Markets regulatory requirements. Good knowledge & Understanding of AML/KYC /BSA/UK/EU regulations) and other local act regulatory requirements across geographies. Hands on experience on working on any regulatory requirements such as DFA, EMIR, MIFID, FATCA, CRS, SFTR, HKMA and MAS. Good Knowledge and understanding of Captial Markets products and services such as Fixed Income, Equities, FX, Derivatives, commodities, CDO, DCM. Assess the client data and documents to identify if the client meets regulatory requirements across jurisdictions Review if all the necessary document, static data and corresponding evidences are on file to comply with regulatory requirement. Strong collaborative abilities with various banking business areas Sales/Relationship Managers, Compliance & Audit teams. Check for correctness, including validation of client and completeness of documents received against existing regulations. Remediate the findings in line with bank's policies and procedures. Reports compliance & control exceptions and deficiencies to the Managers. Develop expert knowledge in regulatory requirements, processes, and systems across global jurisdictions, Perform reconciliation and exception management as per the various regulatory requirements. Implement process level changes in tune with evolving regulations and industry best practices. Ensure the process risks are identified and mitigated effectively, and prevent breaches. Ensuring operational targets on productivity and quality are achieved as agreed with the consortium Responding to queries, handle level 1 escalation and provide solution for closure of open points Skills : Relevant financial service experience, ideally within CIB space Knowledge of the regulatory environment is highly desirable (DFA, EMIR, MIFID, FATCA, CRS, SFTR, HKMA and MAS) Familiar with a range of external data sources and third-party systems to be covered as a part regulatory requirements Strong analytical ability and attention to detail and strong research skills and experience Proficiency with internet and data searches Excellent written and verbal communication skills To Apply WhatsApp 'Hi' @ 9151555419 and Follow the Steps Below: a) For Position in Chennai Search : Job Code # 330 b) For Position in Bangalore Search : Job Code # 331

Primary Skills The QC reviewerwill review the sanctions screening alerts dispositioned by analysts for full adherence with the banks global AML Policy Standards & Operating Procedures related to identifying money laundering, terrorist financing, and red flags Ensures reviews are completed timely and within quality expectations, including review conclusions that are clear, complete, and supported by the information on the case Identify and escalate critical issues to Quality Control Team Head Assist in identifying problem areas and risks associated with the QC processes and make recommendations to improve quality of analysts alert / case work Ensure accurate, complete, and up-to-date internal documentation to provide evidence of decisions and reasoning based on the facts and the potential ML/FT risk identified Analyze and review quality trends and error themes, reporting feedback to internal & client leadership for timely training interventions Produce accurate and quality work (95%+) under tight deadlinesand minimal supervision Perform as an SME and help provide training, coaching, insights, and recommendations to other team members / investigators, when not required to quality check alerts University graduate & CAMS /any industry recognized AML certification will be a plus Fluent in English (spoken and written) Minimum 5-8 years related banking, compliance, audit experience with a minimum of 3-5 years specific experience related to being a quality checker in transaction monitoring and alert dispositions according to specific banking policies and relevant AML legislations across NA, US,EU & APAC jurisdictions Secondary Skills Comprehensive knowledge & understanding of regulatory regimes such as AMLD, MiFID, FATCA & EMIR Maintain a working knowledge of anti-money laundering related requirements including BSA, USA Patriot Act, OFAC, SEC, FINRA, and other applicable US, UK EMEA regulations Actively engage in the identification of potential process shortcomings or required enhancements