3 Regulatory Background Jobs

As a Client & Investment Monitoring Analyst in the Investment Guideline Management (IGM) team at DWS in Pune, India, you will be responsible for providing ongoing support to ensure compliance with federal security laws and client-specific instructions. Your role will involve assisting in rule implementation and post-trade monitoring of investment and trading activities for various institutional clients, proprietary/sub-advised Funds, and ERISA clients managed by the firm. Joining DWS means being part of an industry-leading firm with a global presence, where you can innovate, invest responsibly, and drive change. As investors on behalf of our clients, we aim to find investment solutions that secure our clients" financial future. In return, you will receive support to develop new skills, make an impact, and work alongside industry thought leaders. This is an opportunity to invest in your future and lead an extraordinary career. As part of the Investment Guideline Management team, you will work on tasks such as client onboarding, reviewing daily alerts for guideline breaches, communicating breaches to portfolio managers, and monitoring the resolution of open breaches. You will also be responsible for manual monitoring of rules, resolving business-specific issues, and ensuring compliance with regulatory requirements. To excel in this role, you should have 0-3 years of experience in the Financial Services industry with a preference for a Compliance/Regulatory background. Strong multitasking abilities, proficiency in Microsoft tools, project management skills, and the capacity to work effectively in a team environment are essential. Excellent communication skills, discretion in handling sensitive information, and the ability to prioritize tasks and make timely decisions are also key attributes for success in this role. At DWS, you will receive training, coaching, and support to excel in your career, along with a range of flexible benefits tailored to suit your needs. We strive for a culture of empowerment, responsibility, commercial thinking, initiative, and collaboration to achieve success together every day. Join us at DWS, and be part of the Deutsche Bank Group, where we promote a positive, fair, and inclusive work environment for all.,

Join our digital revolution in NatWest Digital X where we strive to create effortless and secure digital experiences. We are guided by three core principles: engineer, protect, and operate. Our approach involves engineering simple solutions, safeguarding our customers, and operating with intelligence. Our workforce enjoys a variety of working arrangements, including hybrid models and flexible hours, to support their success. As a Business Controls Partner at our India location, you will collaborate with our business and Risk function to identify, assess, and mitigate risks within the defined risk appetite. Leading a team of business and customer control partners, your responsibilities include ensuring the attainment of objectives, establishing a robust risk governance framework, and promptly addressing emerging risks. Your contributions will play a pivotal role in fostering a risk-aware culture by offering solutions to operational risk challenges within the business. This opportunity is at the vice president level. In this role, you will drive the establishment and maintenance of a strong risk awareness culture across the business. You will be responsible for prioritizing, designing, and implementing operational risk principles while ensuring compliance with policies and statutory requirements. Implementing a comprehensive governance framework and engaging all relevant stakeholders for effective decision-making will be crucial. Managing the interface between the business, internal audit, the second line of defence, and other critical functions, as well as overseeing risk and controls teams, are also part of your duties. Further, you will: - Lead the delivery and interpretation of risk Management Information (MI) and reports, collaborating on action plans for issue resolution - Assess and report on the business-wide governance framework and support the preparation of control environment certificates - Evaluate risks associated with change programs and regulatory changes, developing frameworks and ensuring integration within the business - Act as a deputy for other management and business partners as needed To excel in this role, you should possess a background in risk management or regulation, project management skills in dealing with complex people, process, and technology challenges, and a comprehensive understanding of operational processes. Your expertise in risk management principles, coupled with a deep knowledge of our business, products, processes, and technologies, will be essential. Moreover, we seek individuals with: - Proficiency in senior stakeholder management and relationship-building - A proven track record of successful project delivery - Exceptional written and verbal communication abilities - Strong influencing and conflict resolution skills, with a broad perspective on issue impacts - The capacity for creative problem-solving and identifying alternatives in the absence of established procedures,

As a Client & Investment Monitoring Analyst in the Investment Guideline Management (IGM) team at DWS, located in Pune, India, you will be responsible for providing ongoing support to the organization for rule implementation and post-trade monitoring of investment and trading activities. Your role involves ensuring compliance with federal security laws and client-specific instructions, including the Investment Company Act of 1940 and specific fund restrictions for institutional clients, proprietary/sub-advised funds, and ERISA clients managed by the firm. At DWS, we offer a dynamic environment where you can be part of an industry-leading firm with a global presence. As investors on behalf of our clients, we seek innovative thinkers to join us in capturing opportunities for tomorrow. With comprehensive benefits such as leave policies, parental leaves, childcare assistance, insurance coverage, and more, we provide a supportive platform for your career development. Your key responsibilities will include working with institutional advisory services, retail mutual funds, and other investment products to onboard clients and establish/update investment guidelines. You will process daily alerts, communicate breaches to portfolio managers, monitor and resolve breaches, and participate in departmental projects. Strong communication skills, attention to detail, and the ability to work effectively in a team environment are essential for this role. Ideally, you possess 0-3 years of experience in Financial Services with a compliance/regulatory background. Proficiency in Microsoft Office applications, trading systems knowledge, project management skills, and the ability to prioritize tasks are preferred. Additionally, you should demonstrate professionalism, interpersonal skills, and decision-making abilities while handling sensitive information. We provide training, coaching, and a culture of continuous learning to support your career progression. At DWS, we value collaboration, responsibility, and initiative, and we strive for an inclusive work environment where all individuals are empowered to excel together. Join us at DWS and be part of a team that celebrates success and promotes a positive work environment.,