149 Regulatory Guidelines Jobs - Page 4

Senior Manager Job Role Process designing for Credit Cards covering key aspects of Process Workflows (Digital Physical), Compliance, Risk, Legal, Ops, Customer Experience, etc. Creating and documenting SOPs/Process notes of various Credit Card processes with clear defined roles and responsibilities to promote efficient implementation. Ability to think through end to end process at various touchpoints such as online channels, partners, Branches, Call center etc. Review processes in light of Fraud and Risk raised by RCU and ORM. Identification of Risks and Regulatory breach on cards processes and provide solution to mitigate risks and control reports to minimize process lapses. Monitor and govern if the defined processes are being executed from time to time, including regulatory changes In-depth understanding of KYC and Other Regulatory Guidelines. Providing tailor made solution to Product Operations for specific business requirement. Ideate & suggest Product and Operations with end to end execution of a Process Digital Journey"s new initiatives features etc. Ensuring the Digital Journey controls and logics is in line with defined Process, Regulation and Risk perspective Responsible for the documentation of Business Processes, workflows. Publish MIS and Reports Job Requirement Graduate/Post-Graduate with at least 5 to 6 years of experience in Business Processes In-depth knowledge of Credit Cards business Knowledge of Regulatory requirements and market competition/intelligence will be an added advantage. Excellent communication skills Verbal & Written Good Logical reasoning and data analysis skill Should be able to think proactively for process changes from Business Process Re-engineering perspective Assertive attitude Self-Driven and ability to follow-up promptly Good analytical skills & eye for details

As a Customer Service Representative, you will be responsible for analyzing and resolving customer queries through calls. You will also support the execution and implementation of process improvements within the CRM team under the guidance of the Team Lead. It will be your duty to enhance the overall Customer Experience by addressing customer issues promptly and ensuring timely resolution of all concerns. Your role will require strict adherence to all Company Policies, procedures, code of conduct, and regulatory guidelines while interacting with customers. Additionally, you will be expected to propose effective strategies for promoting the Client's products and services to enhance customer satisfaction. Delivering exceptional customer service in a friendly and courteous manner will be a key aspect of your responsibilities. You must possess a comprehensive understanding of the products and services offered by the Client to address inquiries effectively. Furthermore, your ability to think creatively and suggest innovative ideas that improve operational efficiency, internal controls, or customer service will be highly valued.,

As a Polymorph Screening Scientist at Morepen Proprietary Drug Research Pvt Ltd. (MPDRPL), your primary responsibility will be to lead the screening and selection of solid forms for drug candidates. You will play a crucial role in improving the physicochemical properties of active pharmaceutical ingredients (APIs) by overseeing polymorph screening activities. It is essential to identify the most stable and bioavailable forms of drug substances for regulatory submissions. Collaborating with cross-functional teams, you will mentor junior scientists and drive advancements in solid-state drug discovery. Your key responsibilities will include overseeing the screening of potential polymorphs, solvates, and hydrates for APIs, interpreting and analyzing solid-state data, scaling up identified novel polymorphs, collaborating with various teams to align polymorph selection with drug formulation strategies, preparing regulatory-compliant data for filings, troubleshooting any issues related to polymorph stability, and ensuring accurate documentation and reporting of experimental protocols and findings. The deliverables expected from you include the identification and characterization of stable polymorphs and crystal forms for drug candidates, detailed screening reports, regulatory-compliant data for solid-state forms, and methodologies for high-throughput screening, scaleup, and solid-state characterization. To qualify for this role, you should hold a Ph.D. in Pharmaceutical Sciences, Solid state Chemistry, Chemistry, or a related field, with a focus on solid-state chemistry or materials science. Alternatively, a Master's degree with equivalent experience will be considered. You should have a minimum of 6+ years of industry experience in solid-state chemistry, polymorph screening, or pharmaceutical development and proven expertise in solid-state characterization techniques and polymorph screening methods. Proficiency in solid-state characterization methods, high-throughput screening techniques, and knowledge of computational techniques for polymorph prediction are essential technical skills required for this role. In addition to technical skills, you should possess excellent problem-solving, troubleshooting, and decision-making skills. Effective communication skills, both written and verbal, are crucial for presenting complex data to diverse audiences. Being detail-oriented with strong organizational and documentation skills will contribute to your success in this role at MPDRPL.,

You will be responsible for supporting regulatory and safety assessment services as an Expert in PDE (Permitted Daily Exposure), OEL (Occupational Exposure Limit), and QSAR (Quantitative Structure-Activity Relationship) Assessment. Your strong background in Pharmacology or Toxicology will be essential for preparing PDE/OEL reports and conducting QSAR assessments. Your responsibilities will include preparing PDE/OEL reports in accordance with regulatory guidelines, conducting QSAR assessments to evaluate chemical risks, collaborating with cross-functional teams to ensure compliance, analyzing and interpreting toxicology and exposure data, and staying updated with industry best practices and regulatory guidelines. To qualify for this role, you should have an MSc/PhD in Pharmacology or Toxicology, 2-5 years of relevant experience in PDE/OEL and QSAR assessments, a strong knowledge of toxicological risk assessment methodologies, experience with regulatory requirements related to exposure limits, and excellent analytical and problem-solving skills.,

A leading NBFC company is keen to hire a SQ/Q - CA/CS for the Compliance Manager (Internal auditor) to lead and enhance the internal audit and compliance framework by conducting risk-based audit & identify gaps to ensure timely resolution. Required Candidate profile -3+yrs exp in banks/ NBFC Co. for process review, risk Assesment, Internal controls -Hands-on with compliance monitoring tool -RBI regulations for NBFC or banking Industry -good communication skills

The Quality Control (QC) Reviewer plays a crucial role in ensuring the accuracy, completeness, and compliance of laboratory and clinical data with regulatory guidelines, company policies, and industry standards. Your responsibilities include reviewing raw data, study documentation, and analytical reports to ensure adherence to protocols and regulatory requirements. By identifying discrepancies and errors, you will provide recommendations for corrective actions to maintain data integrity. Collaboration with laboratory analysts, study coordinators, and quality assurance teams is essential to resolve issues related to data accuracy and compliance. As a QC Reviewer, you will document your findings meticulously, preparing detailed reports for management and regulatory bodies. Additionally, you will participate in audits and inspections to uphold quality standards. To excel in this role, you should hold a Bachelors/Masters degree in Life Sciences, Pharmacy, Chemistry, or a related field. With 2-6 years of experience in Quality Control/Quality Assurance within the pharmaceutical or biotech industry, you are expected to have a strong understanding of GLP, GCP, FDA, EMA, and ICH guidelines. Proficiency in reviewing analytical data, clinical study reports, and laboratory documentation, along with excellent attention to detail and problem-solving skills, are essential. Effective communication and interpersonal skills are necessary to collaborate with cross-functional teams. Moreover, staying updated with regulatory changes and industry best practices will contribute to enhancing the organization's quality standards. Experience with bioanalytical, clinical, or preclinical study reviews, knowledge of electronic data capture (EDC), and the ability to handle multiple projects with tight deadlines are preferred skills for this role. Proficiency in Microsoft Office and Laboratory Information Management Systems (LIMS) would be advantageous.,

The Third Party Management Operations (TPM Ops) provides operational support, process guidance, and quality assurance and quality control oversight to businesses across Citi, leveraging a central utility infrastructure, standardized processes, and operating procedures to execute robust risk management activities throughout the third-party management life cycle. As the Program Manager, you will provide full leadership and supervisory responsibility. You will offer operational/service leadership and direction to team(s) and apply in-depth disciplinary knowledge through the provision of value-added perspectives or advisory services. Your role may contribute to the development of new techniques, models, and plans within your area of expertise. Strong communication and diplomacy skills are required, along with responsibility for volume, quality, timeliness of end results, and shared responsibility for planning and budgets. You will provide guidance to internal stakeholders, monitor the timely and effective completion of activities related to the Third Party lifecycle, and ensure data accuracy for reporting third-party related metrics. Additionally, you will focus on keeping the motivation and development of the team through professional leadership, including duties such as performance evaluation, compensation, hiring, disciplinary actions, and terminations, as well as directing daily tasks and responsibilities. Your responsibilities will include establishing and overseeing the application of operational risk policies, technology, and tools, and governance processes to create lasting solutions for minimizing losses from failed internal processes, inadequate controls, and emerging risks. You will independently assess risks and drive actions to address root causes leading to operational risk losses, challenge historical and proposed practices, and look for ways to improve the current process by sharing best practices with senior leadership. You will participate in senior leadership meetings to analyze documentation and processes, assist senior management in gathering data for executive level reporting, and take ownership of specified projects and tasks. As an SME to senior stakeholders and/or other team members, you will manage larger teams and drive them to deliver the highest quality work on Third Party Management. It is essential for you to demonstrate strong knowledge about Third Party Lifecycle Management, Regulatory guidelines, Contract Terms & conditions, Information Security, Regulations (OCC, GDPR, Data Privacy Laws, and Country-specific Local Laws, etc.). You will provide process guidance and support to Third Party Officers (TPOs), Business Activity Owners (BAOs), and other business stakeholders on end-to-end Third-Party Management requirements, set up periodical review meetings with all stakeholders, facilitate and coordinate with various Policy Owners, and execute various third-party risk assessment controls. Additionally, you will verify third parties" policies and procedures for compliance with Citi's policies and procedures, identify and report gaps to senior management, drive your team to identify opportunities for better control and productivity enhancement, analyze data and forecast trends regarding inherent risks associated with third parties, and work with the Operations standards team to lay out the framework of new processes. You will be responsible for coordinating with internal and external auditors, ensuring timely and accurate submission of all deliverables, addressing observations and taking corrective action accordingly, driving and implementing process changes in line with new emerging risks and regulatory requirements, and appropriately assessing risks when making business decisions. Your role will involve supervising the activity of others and creating accountability for maintaining standards. Qualifications: - Minimum 12+ years of working experience in the financial services/Banking industry - Preferred 6+ years of direct, relevant experience in third-party risk management, operational risk management, or Audit related work - Minimum 3 years of Operational Leadership Experience including delivering in a high-volume, goal-based production/operations-based environment - Knowledge of third-party management risk and control methodologies and best practices - Team management skills preferred - Supply chain management experience preferred Education: - Bachelor's degree required - Master's Degree preferred - Professional Qualifications including CA/ICWA/ACS etc. - Project Management experience in process standardization & Automation - Preferred external certification CISA/CIA/CSCP/CPSM Citi is an equal opportunity and affirmative action employer.,

Roles and Responsibilities Conduct audits of bank branches, identifying areas for improvement and providing recommendations for enhancement. Ensure compliance with regulatory guidelines, internal policies, and procedures. Prepare detailed audit reports highlighting key findings, risks, and control gaps. Collaborate with branch management teams to implement corrective actions and monitor progress. Maintain accurate records of all audit activities, including documentation of audit plans, findings, and follow-up actions. Desired Candidate Profile 2-5 years of experience in auditing or related field (banking and financial industry preferred). Strong understanding of audit documentation, audit compliance, audit report preparation, auditing principles, and regulatory guidelines. Excellent analytical skills with ability to identify trends and patterns in data analysis. Strong in communication skills with ability to present complex information clearly both verbally and written. What We Offer: Opportunity for career growth and professional development. Dynamic and collaborative work environment.

Job Summary We are seeking a highly skilled Analytical Scientist to join our Research and Development team. The successful candidate will be responsible for developing, validating, and implementing analytical methods for the quantification and identification of genotoxic impurities in pharmaceutical products. This role will involve extensive use of chromatography techniques and adherence to regulatory standards. The ideal candidate should have a strong background in analytical chemistry, method development, and data analysis, with a keen eye for detail and a commitment to ensuring the highest quality standards. Roles & Responsibilities You will be responsible to review relevant Literature and stay updated with the latest research and scientific literature relevant to the field of genotoxic impurities and chromatography methods. You will be responsible to develop and optimize chromatography-based methods for accurately quantifying genotoxic impurities in various samples. You will be responsible to address regulatory deficiency queries concerning the analytical methods and data related to genotoxic impurities. You will be responsible to ensure the quality and accuracy of reference standards and working standards used in analytical testing and method development. You will be responsible to develop analytical methods, conduct validation studies to ensure the accuracy and reliability of the methods, and transfer validated methods to the Quality Control (QC) department. You will be responsible to prepare comprehensive reports documenting method development, validation results, and any forced degradation studies performed. You will be responsible to conduct forced degradation studies to identify potential impurities and establish their chemical nature and behaviour. You will be responsible to perform real-time analysis of samples during product development stages to ensure product quality and consistency. You will be responsible for compilation of Stability Data to assess the stability profile of the products under various conditions. You will be responsible to evaluate the effectiveness of the product development strategy and identify any cross-functional issues affecting the process. You will be responsible to identify and plan for the developmental needs of the product, considering factors such as scale-up and potential process improvements. You will be responsible to source and manage the procurement of necessary chemicals, solvents, columns, and other laboratory equipment. You will be responsible to ensure proper maintenance of laboratory equipment as per Good Laboratory Practices (GLP) standards to guarantee accurate and reliable results. You will be responsible to calibrate instruments as per the calibration schedule and strictly follow Standard Operating Procedures (SOPs) to maintain consistency and accuracy. You will be responsible to maintain a clean and organized work area, and ensure that the laboratory environment is controlled at the required temperature for optimal analytical conditions. You will be responsible to keep all relevant documents well-maintained and organized for easy access and compliance with internal and external auditing requirements. Qualification Educational qualification: Masters in Science/ Organic chemistry Minimum work experience: 5 years of experience in analytical method development Skills & attributes: Technical Skills Have work experience on Process scale up of Active Pharmaceutical Ingredients. Experience in Process Optimization (Manufacturing) Experience in the development and regular analysis in Wet analysis-IR, Ultra Violet, Moisture analysis, Chromatographic techniques Strong understanding of regulatory guidelines and industry standards related to pharmaceutical product development and analysis. Proven experience in method validation and documentation in compliance with regulatory requirements. Behavioral Skills Excellent communication and interpersonal skills. Strong analytical and problem-solving abilities. Ability to work collaboratively with own team and cross-functional teams. Additional Information About the Department Integrated Product Development Organisation We integrate our deep science capabilities and cutting-edge technology to develop innovative, accessible and affordable therapies for patients worldwide. We are a science-driven, innovation-focused pharmaceutical company committed to accelerating access to healthcare solutions to patients around the world. We have End to end capabilities in API, Formulations, Clinical, Intellectual Property and Regulatory Affairs. We are serving 55+ markets including USA, Canada, Europe, China, LATAM, ASEAN and all Emerging Markets with innovative and generic products ranging from Active pharmaceutical ingredients (API), Oral formulations, Parenteral (Injectables, Opthalmics) & Other dosages Our product development efforts drive a portfolio of more than 1,000 products Enabled by our robust R&D team consisting of more 200 scientists and functional experts and more than 150 doctorates, we have filed 1,071 patents and also published over 1,000 papers for peer review over the years. Benefits Offered At Dr. Reddy’s we actively help to catalyse your career growth and professional development through personalised learning programs. The benefits you will enjoy at Dr. Reddy’s are on par with the best industry standards. They include, among other things and other essential equipment, joining & relocation support, family support (Maternity & Paternity benefits), learning and development opportunities, medical coverage for yourself and your family, life coverage for yourself. Our Work Culture Ask any employee at Dr. Reddy’s why they come to work every day and they’ll say, because Good Health Can’t Wait. This is our credo as well as the guiding principle behind all our actions. We see healthcare solutions not only as scientific formulations, but as a means to help patients lead healthier lives, and we’re always attuned to the new and the next to empower people to stay fit. And to do this, we foster a culture of empathy and dynamism. People are at the core of our journey over the last few decades. They have been supported by an enabling environment that buoys individual ability while fostering teamwork and shared success. We believe that when people with diverse skills are bound together by a common purpose and value system, they can make magic. For more details, please visit our career website at https://careers.drreddys.com/#!/

Role & responsibilities Role Overview: We are expanding our IPO Advisory team and are looking for a dynamic and driven IPO Specialist to join our Kolkata office. The ideal candidate will have hands-on experience in managing IPO transactions, regulatory compliance, and stakeholder coordination, with a strong understanding of SEBI and stock exchange requirements. Key Responsibilities: Lead and support end-to-end execution of IPO advisory mandates, including due diligence, documentation, and regulatory filings. Coordinate with clients, BRLMs, legal advisors, auditors, and other IPO intermediaries. Review of offer documents, DRHPs, RHPs, and other regulatory submissions. Conduct financial analysis, valuation, and market benchmarking. Assist in investor presentations, roadshows, and marketing strategies. Track IPO pipeline, market trends, and regulatory developments. Preferred candidate profile MBA (Finance), CA, CFA and/or equivalent qualification. 57 years of relevant experience in investment banking or capital markets, with a focus on IPOs. Strong Business & Financial Modelling expertise. Strong knowledge of SEBI ICDR regulations and listing processes. Excellent analytical, communication, and stakeholder management skills. Ability to work independently and manage multiple mandates

Hiring Compliance Manager to handle regulatory circulars from SEBI, NSE, BSE, etc., and manage audits. Role ensures full compliance with exchange norms and keeps the company audit-ready at all times. Required Candidate profile Lead internal audits & regulatory inspections. Liaise wt auditors SEBI, exchange, statutory to ensure timely data submission. Address audit findings, close non-compliances, ensure inspection readiness

Role & responsibilities Regulatory Compliance (RBI & IRDAI): Ensure ongoing adherence to all applicable RBI NBFC and IRDAI regulatory guidelines. Review and monitor timely and accurate filing of periodic returns and reports as per RBI regulations. Handle timely submission of ad hoc regulatory data requests and maintain liaison with RBI officials for compliance-related matters. Keep the company website and disclosures updated in line with regulatory requirements. KYC/AML & PMLA Compliance: Ensure compliance with KYC norms and PMLA regulations across customer onboarding and ongoing monitoring. Support the implementation and oversight of KYC and AML software systems. Conduct ML/TF (Money Laundering/Terror Financing) risk assessments and support suspicious transaction reviews. Inspection & Audit Coordination: Lead and manage regulatory inspections, particularly by the RBI, and ensure timely and accurate responses to queries. Liaise with internal auditors and statutory auditors on compliance matters and provide necessary data support. Ensure timely closure of audit observations and implementation of recommended actions. Policy, Process & Product Oversight: Review and update regulatory policies and compliance SOPs in line with legal and business requirements. Oversee compliance across all business products to ensure alignment with RBI norms. Review and vet loan documentation, customer-facing templates, and related legal documents from a compliance standpoint. Ensure branch-level compliance is maintained uniformly across locations. Compliance Monitoring & Testing: Conduct periodic compliance testing and monitoring to evaluate adherence to internal and regulatory controls. Continuously assess and enhance internal control mechanisms and streamline compliance processes. Maintain a robust compliance risk framework, including timely reviews of the business model for emerging regulatory risks. Preferred candidate profile The ideal candidate should be a qualified CA, MBA, or CS with a strong understanding of RBI and IRDAI regulatory frameworks. Prior experience in compliance roles within NBFCs or financial institutions is required.

Hands-on experience in designing, launching, & managing Prepaid Forex Card programs. shaping & executing our prepaid product strategy, ensuring seamless operations, regulatory compliance, and delivering value to our customers Required Candidate profile Understanding & internalising the cost and revenue aspects of the card program as given by Network partners. Negotiation with Program managers on various aspects of card launch Perks and benefits Health Insurance Employee Term Policy

Role Purpose The purpose of this role to deliver great customer service/experience by effectively acknowledging, tracking, and prioritizing all client cases as per the regulatory guidelines, and ensuring resolution as per the defined SLAs, by allocating the same to the relevant support team. Do Ensure operational excellence through contract and regulatory compliance, effective case acknowledgment, tracking, prioritization, system updation, and reporting Acknowledge client cases as per the SLAs defined in the contract Access client tool and log all incoming client cases accurately on the internal tool as per contract Accurately document all pertinent case information such as case number, case type, etc. of daily cases received Follow standard processes and procedures to track and prioritize all client cases Accurately update the internal tool with daily cases and forward the same to respective agents and QAs Access and maintain internal knowledge bases, resources and frequently asked questions to aid in effective case logging and prioritization Maintain and timely update internal tool for agents to speed up response time Identify red flags and escalate serious client issues to Team leader in cases of non-compliance and untimely resolution Ensure all client information, disclosures and regulatory changes are given to agents and QAs on a regular basis Monitor compliance with service agreements to avoid legal challenges Share recorded case logs and status reports with clients and supervisors on a daily basis Deliver excellent customer service through effective understanding of client tool, accurate case logging and prioritization as per regulatory guidelines Serve as the primary point of contact for accessing cases pertaining to a specific client using designated client tool Develop deep understanding and use of client tool to effectively perform day today duties Access client tool and acknowledge to the client the receipt of the cases as per the SLAs defined in the contract Accurately document all pertinent case information such as case number, case type, etc. on a daily basis for all cases received Prioritize cases on the levels of urgency and complexity as per the regulatory guidelines defines by the client Accurately extract case information and create an excel listing cases along with relevant information pertaining to the cases Maintain logs and records of all client cases as per the standard procedures and guidelines Collaborate with client and undergo trainings on any new regulatory guidelines for a particular client process and implement the same on all cases Ensure allocation and resolution of client cases as per the defined SLAs by accurately updating internal tools, training sessions on new regulations and regular reporting Ensure allocation of cases to agents and QAs by accurately recording all client cases on the designated internal tracking software Maintain tracker of all cases received along with the allocation information for reporting purposes Ensure all client cases are resolved as per the defined SLAs and regulatory guidelines defined by the client Maintain and share the resolution status report with supervisor and client on a daily basis Share the hourly productivity update report with supervisors and clients on a daily basis Undertake client training on specific tool features and/or any other regulatory changes introduced by client/govt. Conduct training sessions for agents and QA ensuring the regulatory changes have been effectively communicated to all agents and QAs Ensure new regulatory guidelines are implemented all client processes to avoid penalties and non-compliance Liaise between the client and internal teams on escalations of serious issues and unique queries Follow up with agents and QAs to record feedback and ensure compliance to contract SLAs and regulations Interact and engage with the client and internal stakeholders to communicate and update progress against a particular case Build capability to ensure operational excellence and maintain superior customer service levels for the existing client Undertake trainings to stay current with any new features, changes and updates on client tool Enroll in product specific and any other trainings per client requirements/recommendations Conduct training sessions for Agents and QAs on any new regulatory guideline that needs to be applied to any process urgently Identifying and document most common problems and recommend appropriate changes to the team leader Updates job knowledge by participating in self learning opportunities and maintaining personal networks Mandatory Skills: Defined Contributions (DC). Experience5-8 Years.

Review, compile and Preparation of original drug master file (DMF)/ ASMF as per GUDFA guidance/EMA guidance in eCTD format for various agencies. Review, compile and Preparation of Response to Deficiency as received from Agency. Working on Life Cycle management of DMF including amendment, biannual update, Annual Reports etc. for various markets. Preparation of Applicants Part and sharing with Customers and resolving customers query. Sound knowledge about ICH guidelines GDUFA and EMA guidelines

Role & responsibilities: Supervising dissemination of actionable emanating from new guidelines and ensuring implementation by the respective Business units of the Bank Strict monitoring through the systems/ tools available in the department of various issues relating to Digital Journeys Approval of any new/ review of existing Policy/ Internal circulars/ processes upon ensuring all regulatory/internal guidelines have been complied with. Handling of Advisory related to Compliance with Regulatory Guidelines on Digital Lending and other related guidelines. Connecting with regulators/ peer banks to seek clarification/ benchmark process followed in the bank (wherever required) Testing of regulations / processes/ controls when required. Providing relevant inputs for preparation of presentations / dashboards for senior management Co-ordinate with the respective stakeholder and ensure that proper controls are put in place to mitigate the compliance risk, Vetting of Bank's Policies, internal circulars, manuals, validation of forms from the compliance perspective, validating internal controls with various Codes (BCSBI, etc) Vetting of responses / compliance to be submitted to regulators /agencies provided by the business departments / stakeholders. Monitoring compliance risk using various tools (e.g. Key Compliance indicators, etc.) Testing Processes related to Observations/Regulatory line items of RBI and closure of Testing reports. Monitoring and tracking of Regulatory observations emanating from IAD/ CTG/ other sources, Approval and review of PMC/CMC notes in line with relevant applicable regulations /internal policies. Assisting RBI Compliance Team for onsite inspection (wherever required) Preferred candidate profile Understanding of basic processes involved in Digital Lending and product journeys, Ability to apply basic concepts to practical scenarios/ issues, Understanding of regulations/ guidelines Experience in handling Compliance related to Digital Lending and products Good Interpersonal and communication skills Excellent spoken & written (Drafting) English skills Proficiency & command in Excel, Word & PPT etc.

Role & responsibilities Conducting process level audits and having knowledge of Wholesale / Retail (Credit and Operations) along with some of the other functional areas (Risk, Compliance, Treasury, HR, Accounts) Maintaining adequate work papers and documentation along with adherence to Internal Audit policies and Regulatory guidelines Drafting of Audit reports and suggesting suitable recommendations to address the process level observations. Holding effective discussion with senior level management for agreement with findings and closure of observations with adequate management responses Follow-up of open observations within timelines to ensure closure of observations as per agreed plan Assisting the HIA in preparing Risk Based Internal Audit plan and completing assigned audits as per plan Preferred candidate profile • Should have experience of effectively building relationships with process owners in a positive and proactive manner • Should be well -versed with framing and conducting Risk Based Internal Audit Plan • Should have worked with NBFCs/Banks and have knowledge Regulatory guidelines and other functional areas • Should have experience and willingness to quickly gain knowledge of changing business and system • Should be aware of IFC guidelines as per Companies Act and ICAI • Risk Based Internal Audits • IFC/SOX at NBFCs/Banks

Role & responsibilities Handled exposure preparation for the bank. Handled regulatory returns such as CRILC, NeSL, RBS, EDR, PSL and SLBC reporting, SIBC Handling and closure of audit observations Handled Capital adequacy calculation Various Internal and Management reporting/MIS including Board note submissions Handle statutory/Internal/RBI and concurrent audit as well as closure of audit/LFAR observations Support to all automation activities including discussion with vendor on finalization of BRD requirement, handling UAT and subsequently managing production run Support and Back up to Early warning signal system wherever required (Preferably) Support to stakeholders as per requirement of the job

Position Overview: The Account Opening & Modification Team Lead is responsible for overseeing the scrutiny of account opening forms for new client onboarding and modification requests for existing demat and trading accounts, ensuring KYC compliance. The role includes managing the team, tracking requests, publishing MIS, and ensuring the accurate capturing of relevant details in the system while maintaining compliance with regulatory requirements. Additionally, the Team Lead will focus on improving operational efficiency and the First-Time Right (FTR) ratio by collaborating with business teams and conducting knowledge sessions. Role & responsibilities: Lead, supervise, and manage the Account Opening & Modification team, ensuring timely and accurate processing of account opening forms (AOF) and modification requests for demat and trading accounts. Review and verify KYC documents for various account types, including Resident Individuals, NRIs, and Non-Individual accounts (Corporate, Partnership, LLP, Trust, HUF, etc.), ensuring regulatory compliance. Ensure accurate data push and updates across all relevant systems, including back-office applications, exchanges, and depositories. Collaborate with Product and IT teams for product enhancements and bug fixes. Provide coordination and support to Compliance and Audit teams. Coordinate with exchanges, KRAs and external stakeholders for smooth processing of UCC, KRA/KYC registration and issue resolution. Publish regular MIS reports on account opening/modification requests, approval/rejection rates, and FTR metrics. Collaborate with business teams to analyze errors and drive improvements to enhance the First-Time Right (FTR) ratio. Conduct periodic knowledge-sharing sessions with business teams on KYC compliance, regulatory updates, and best practices. Stay updated with the latest regulations and compliance requirements related to account opening and KYC to ensure strict adherence in all account processes. Preferred candidate profile Proficient in MS Office and other relevant software. Strong knowledge of capital markets, stock markets, and financial services. Minimum 3 to 5 years of experience in account opening, KYC compliance, and team handling within the financial services industry. Strong understanding of regulatory requirements related to account opening and KYC. Excellent communication skills, both written and verbal. Ability to work independently and as part of a team while managing multiple tasks. Strong problem-solving and decision-making abilities, with a focus on improving operational efficiency and compliance.

Job location: Ahmedabad Experience Required- 4+ years of experience in QA (Clinical Research) Role & responsibilities A. Review Protocol and its attachments. B. Conduct in-process and retrospective audit of clinical phase of the study to ensure compliance to protocol, SOPs and applicable regulatory requirements. C. Review Clinical report to verify that the data reported in the report, accurately reflects the raw data and to ensure that the report is prepared in compliance with SOP, ICH E3 and applicable regulatory requirements. D. Conduct system audits as per the system audit plan. E. Conduct vendor pre-qualification and re-qualification audits as per the vendor audit plan. F. Preparation, Review, distribution, maintenance, recall and destruction of QMS Documents (SOPs, Policies, WIs, Manuals, forms and Plans . ) G. Review and maintain calibration, validation and Mapping documents and Temperature data / OOS data (Eurotherm data )review. H. Issuance of logbooks. I. Review of deviations, event and change control procedures and provide number to respective document. J. Provide Instrument IDs as per SOP. K. To maintain/update study/System specific tracker/Index on on-going basis. L. Assisting Team in charge in Regulatory/Sponsor Audit. M. Maintain Master Signature Log.

Job Summary: We are seeking an experienced and strategic Legal & Compliance Head to lead our legal function, ensure compliance with applicable laws and regulations, and provide sound legal advice across all departments. This role will be instrumental in mitigating risks, managing legal disputes, and supporting corporate growth with a solid legal foundation. Key Responsibilities: 1. Preparation of mandatory policies and other corporate documents for all group companies in India. 2. Maintaining the relevance of policies and other corporate documents 3. Monitoring of changes in applicable legislation, including at the stage of draft laws and preparation of documents outlining the position or strategy of protecting the interests of the company 4. Draft and negotiate contracts with suppliers, vendors, and service providers 5. Monitoring and updating of client`s loan documentation 6. Adjusting mass communications 7. Conduct regular internal audits to assess and enhance compliance with applicable laws and regulations 8. Identify potential legal risks in operations and develop strategies to mitigate them 9. Manage disputes and litigation, coordinating with external counsel when necessary 10. Conduct training on legal and compliance matters for staff at all levels 11. Advise on and ensure compliance with the Foreign Exchange Management Act (FEMA) regulations in cross-border transactions 12. Manage reporting requirements to the RBI for foreign investments, loans, and transactions 13. Ensure compliance with CSR obligations under the Companies Act 14. Organize workshops and training sessions to educate employees on legal obligations and company policies 15. Conduct legal due diligence on third parties to mitigate risks associated with outsourcing Role & responsibilities

: In Scope of Position based Promotions (INTERNAL only) Job Title Model Validation Specialist Associate Location Mumbai, India Role Description Model Risk Managements mission is to manage, independently and actively, model risk globally in line with the bank's risk appetite with responsibility for: Performing robust independent model validation; Ensuring early and proactive identification of Model Risks; Effectively managing and mitigating Model Risks; Establishing Model Risk metrics; Designing and implementing a strong Model Risk Management and governance framework; Supporting bank-wide Model Risk-related policies. This role spans all aspects of validation applicable to the portfolio of estimation approaches within the Deutsche Bank Combined US Operations (CUSO) across all relevant business units and risk types. What well offer you : 100% reimbursement under childcare assistance benefit (gender neutral) Sponsorship for Industry relevant certifications and education Accident and Term life Insurance Your key responsibilities The core responsibility will be to validate IB Stress testing models used within the larger CCAR PPNR umbrella for DB USA. Its important for incumbent to grasp and understand Investment Banking side of the banks business. However, the role might necessitate model validator to be flexible in moving around different risk areas within US model validation team outside of core area of responsibility. Key tasks include, but not limited to model performance testing, scenario analysis, sensitivity analysis, and conceptual assessment of model assumptions/limitations/weaknesses. Developing challenger models including independent data collection and by performing complex analysis and testing. Follow regulatory guidelines and the Banks policies and procedures for model risk management, especially CCAR-specific guidelines. Bringing efficiency by automating processes and uplifting frameworks. Your skills and experience 3-6 years of professional experience in model development/ validation or related areas. Previous experience in stress testing (DFAST/CCAR/ICAAP) would be a plus. Ability to analyse and understand financial statements (Balance sheet, Income statement) will be advantageous. Candidate needs to have decent knowledge about financial products and the associated risk factors. Candidate needs to have above average report drafting skills and should be able to independently compile model validation reports, follow-through on mitigation of validation findings, and documentation thereof. Very strong data management and analysis skills with experience in relevant software packages, e.g., R and Python. Good presentation & communication skills Candidates with Mathematics/Statistics/Economics/Engineering/ MBA or allied background holding Graduate/Post-Graduate degrees are preferred. CFA / FRM certification will be a plus for the role. How well support you . . . About us and our teams Please visit our company website for further information: https://www.db.com/company/company.htm We strive for a culture in which we are empowered to excel together every day. This includes acting responsibly, thinking commercially, taking initiative and working collaboratively. Together we share and celebrate the successes of our people. Together we are Deutsche Bank Group. We welcome applications from all people and promote a positive, fair and inclusive work environment.

: Job TitleClient Implementation Analyst, NCT LocationPune, India Role Description In accordance with Anti-Money Laundering , Banks 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. What well offer you 100% reimbursement under childcare assistance benefit (gender neutral) Sponsorship for Industry relevant certifications and education Accident and Term life Insurance 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 Domain Skills 1 to 2 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 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 Communication and Reasoning skills Good German Language Skills Written & Verbal B2.2 level Good reading, comprehension and critical reasoning skills Good analytical writing skills Good communication skills to communicate at all levels - onshore & stakeholders Soft Skills Ability to work independently and take ownership Flexibility while handling multiple cases of varying priorities Graduates with good academic records Exposure to draft procedures based on policies formulated by the Bank's AML Compliance departments. Relevant KYC experience in any Financial Sector for a minimum of 2 years How well support you About us and our teams Please visit our company website for further information: https://www.db.com/company/company.htm

: Job TitleKYC Role LocationMumbai, India Corporate TitleAS Role Description About Deutsche Bank: Deutsche Bank is the leading German bank with strong European roots and a global network. Were driving growth through our strong client franchise. Against a backdrop of increasing globalization in the world economy, Deutsche Bank is very well-positioned, with significant regional diversification and substantial revenue streams from all the major regions of the world. We serve our clients real economic needs in commercial banking, investment banking, private banking and asset management. We are investing heavily in digital technologies, prioritizing long term success over short-term gains, and serving society with ambition and integrity. All this means a career packed with opportunities to grow and the chance to shape the future of our clients. About the business division International Private Bank is one of the preeminent private banks in the Eurozone and for family entrepreneurs worldwide. It serves around 3.4 million clients, including private clients and small and medium-sized enterprises (SMEs) in Italy, Spain, Belgium and India, and wealth management clients from more than 80 locations in Germany, the rest of Europe, the Middle East and Africa (EMEA), Asia-Pacific and the Americas. The business has around 250 billion euros of assets under management and a combined revenue of approximately 3 billion euros. It offers high-net-worth (HNW) and ultra-high net-worth (UHNW) clients a broad range of traditional and alternative investment solutions, as well as comprehensive advice on all aspects of wealth management. Additionally, in Italy, Spain, Belgium and India it offers a comprehensive range of products including investment and insurance products, deposits, checking accounts, cards and other payment services as well as credit and business banking products. What well offer you 100% reimbursement under childcare assistance benefit (gender neutral) Sponsorship for Industry relevant certifications and education Accident and Term life Insurance Your key responsibilities As part of the Deutsche Bank IPB , we are seeking to hire qualified candidates to handle the following functions: Client Data Collection, Documentation & Maintenance as part of new adoption / during periodic reviews. Should also know the due diligence required to establish the correctness/validity of documents Know your client verification checks Risk categorization reviews for clients as per the regulatory requirements with knowledge of enhanced due diligence required while adopting High Risk clients Liaise with different stakeholders to manage work pipeline effectively Key responsibilities of this role would include: Ability to understand complex ownership structures especially for non-traditional WM clients such Charities, Foundation, Trusts, Private Equity Funds and also Private Investment Companies (PIC), Detailed initial review of KYC file, identifying gaps in the Front Office submissions and clearly articulating why the submitted files meet (or do not meet) KYC and regulatory requirements Understanding the various sources of wealth generation for the client and analysing the information Ensuring that cases are prioritised and managed effectively and consistently in line with the agreed process and deadlines Independent and proactive liaison with Front Office and Anti Financial Crime function to ensure full transparency and improve turn-around times Perform name screening of clients and related parties to identify politically exposed persons, sanctioned persons, adverse media and mitigate risks associated with financial crimes Escalate high priority client / business issues in a timely manner to protect the franchise and the client business Your skills and experience A Post-graduate/Graduate degree in Finance, Business or Economics with a deep understanding of AML, KYC, Financial crimes, and other regulatory requirements (preferably Wealth Management) is what we are looking in the ideal candidate. Due to the nature of the job you should have the following skill sets: Relevant experience in Client On-boarding processes/Periodic KYC review and requirements (preferably Europe and Luxemberg region) Proven track record as a strong contributor and able to work in virtual global teams and a matrix organisation Ability to work independently, as well as in a team environment, initiative driven and proactive approach, prioritizes multiple tasks, and meets strict deadlines Experience in documenting processes to comply with the regulatory guidelines; Excellent communication skills, (written and verbal) with an open minded approach and the ability to share information with stakeholders and team members Proactively communicate with front office on deficiencies and/or next steps of KYC requirement Experienced in using the following tools Appway, Avaloq, Lexis Nexis, World Check, RDC and Fircosoft How well support you About us and our teams Please visit our company website for further information: https://www.db.com/company/company.htm We strive for a culture in which we are empowered to excel together every day. This includes acting responsibly, thinking commercially, taking initiative and working collaboratively. Together we share and celebrate the successes of our people. Together we are Deutsche Bank Group. We welcome applications from all people and promote a positive, fair and inclusive work environment.

Overall Job Description Investigations Adherence to the timelines for completion of Vigilance investigation. - To conduct investigations into verifiable allegations reported during the course of the year and / or complaints received/assigned by CIV and submission of reports for further consideration of the Disciplinary Authority. Completion of investigation and submission of reports within stipulated timelines. Adherence to regulatory requirement / internal policies- Ensure adherence to the regulatory requirements / internal guidelines with regards to conducting and conclusion of investigations. Comprehensiveness and quality of investigations Focus on Root Cause Analysis, Identification of Process / Control Gaps. - Provide qualitative recommendations for improvement of processes. - Identification and fixing of Staff Accountability. - Maintaining evidences, records & documentation pertaining to investigations. - Quality of notes placed to the committees. Preventive Vigilance Assimilating intelligence through surveillance and detection about corrupt practices committed or likely to be committed by employees of the Bank which inter alia includes reviewing available information in public domain/other bank cases/ newspaper reports and providing necessary insights to the CIV from a preventive vigilance perspective. Conducting Training & Awareness programs. MIS, Reports & Process Preparing monthly/Quarterly/Annual memos for review of Vigilance Committee, Audit committee and board. Preparing MIS & Dashboards for circulation to stakeholders Creating and maintaining central repository for Vigilance Department. Reviewing staff accountability cases to identify cases with a vigilance angle. Conducting reviews/ study of processes with a vigilance perspective. Drafting responses to regulatory authorities/ stakeholders. Ensuring Banks Vigilance / WBM Policy are totally in sync with all statutory and regulatory guidelines. Keep abreast of the latest regulatory guidelines and circulars and ensure adherence to the same.