3 Regulatory Adherence Jobs

About this role: Wells Fargo is seeking a... In this role, you will: Support management in the day-to-day supervision of less experienced team providing guidance, and resolution to issues contributing to overall effectiveness of team Provide feedback and present ideas for improving or implementing processes and tools within Operations group Perform or guide others on complex escalated issues that require planning, evaluation, and interpretation Prioritize work and provide daily work leadership and mentorship to team Provide training and technical guidance to less experienced staff Lead or contribute to implementation of new or revised processes and procedures that require coordination among operation teams Collaborate and consult with peers, colleagues, and managers to resolve issues and achieve goals Interact with internal customers Receive direction from leaders Exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements Serve as a resource to other departments on transaction structure, documentation, and company policies Required Qualifications: 6+ years of Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Required Qualifications for Europe, Middle East & Africa only: Experience in Operations, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Role & responsibilities Security Operations & Threat Management Monitor, analyze, and respond to security alerts and incidents using SIEM (Security Information and Event Management) tools . Implement and manage intrusion detection/prevention systems (IDS/IPS) and endpoint security solutions. Assist in conducting regular vulnerability assessments and penetration testing (VAPT) in compliance with SEBI requirements. Manage security patches, updates, and hardening of critical IT infrastructure. Address SOC & DWM incidents response procedures. Maintain log management and auditing practices as per SEBI cybersecurity guidelines. Maintain firewalls, endpoint security, and network security controls . Managing Web Proxy and ZTNA . Help implement security configurations for IT assets. Identity & Access Management (IAM) Oversee privileged access management (PAM) and ensure secure authentication mechanisms (MFA, SSO). Regularly review and update user access policies in compliance with SEBI guidelines. Risk Management & Data Security Conduct risk assessments and security posture reviews for IT assets and applications. Implement data encryption, DLP (Data Loss Prevention), and secure file transfer mechanisms . Ensure protection of client data and financial transactions from cyber threats. Compliance & Regulatory Adherence (SEBI & Industry Standards) Ensure adherence to SEBI (Cyber Security & Cyber Resilience Framework) for regulated entities. Implement and maintain security controls in line with SEBI cybersecurity mandates . Assist in internal and external security audits , ensuring compliance with regulatory bodies. Preferred candidate profile Bachelors degree in Computer Science, Information Security, or related field. 2-3 years of experience in Security Operations, or IT Security. Strong understanding of Cybersecurity & Cyber Resilience Framework . Proficiency in SIEM, firewalls, IDS/IPS, endpoint security, and cloud security tools . Perks and benefits

Role Description The COO CRM & PBCRO Regulatory Adherence at Deutsche Bank ensures a CRM-wide discipline for the assessment and analysis of consultations and new rules and regulations and is playing a key role in leading, supporting and validating regulatory driven changes initiatives impacting our credit systems and processes. Your role will primarily be focussed on global regulations impacting all international credit portfolios in Corporates & Investment Bank (CIB) as well as domestically in Germany (PB Germany) and in the International Private bank (IPB). Members of the team are located in Frankfurt, Bonn und Mumbai. This position is within Regulatory Adherence in Mumbai servicing global locations. Your key responsibilities You are responsible for Regulatory Adherence activities along the regulatory life-cycle related to Credit Risk including tracking and review of incoming new rules & regulations and consultations affecting Credit Risk. You will support the performance of global impact assessments and tracking of potential gaps resulting in remediation- and corresponding project/ change activities. You identify and analyse regulatory trends and supervisors priority topics to facilitate early mitigations and strategic decisions and take part in bankwide advocacy work including coordination of key regulatory initiatives (i.e. CRR; MaRisk) with corresponding change initiatives. You will support coordination of regulatory driven changes initiatives impacting our (IT) systems and processes as part of the adherence analysis and advocacy work, i.e. joining project teams and working groups to drive quality standards and control frameworks to meet new regulatory requirements. Your will actively coordinate stakeholders feedback of the areas impacted including coordination of Subject Matter Experts in different credit areas. You are the regulatory subject matter expert and take responsibility for periodic Senior Management briefings on key changes and main challenges with regards of the allocated regulatory adherence topics. Your skills and experience A Masters degree or the equivalent experience or qualifications Background in a Risk function within the financial services industry. Good credit risk management knowledge including experience in credit process and/or methodologies and/ or credit portfolio management Regulatory knowledge with focus on credit risk relevant regulations and regulations related to Credit Risk models Experience in project and change management with good analytical and conceptual skills with the ability to solve complex problems, develop innovative and structured solutions and ability to see the broader picture front-to-back and assess dependencies and interdependencies Very good communication and social skills with excellent client and service focus, as well as confidence in working with decision-makers from all levels of the organisation being a good team player Fluent in Microsoft Office tools Fluent in English.