3758 Regulatory Jobs - Page 27

Role Description The first line Tech Risk function for business divisions (Corporate Bank (CB), Investment Bank (IB) and Operations (Ops) at Deutsche Bank sits within the Divisional Control Office (DCO) embedded in the Business. CB and IB front-to-back have the largest footprint within the banking divisions, and you will be part of a dynamic team, consistently in demand for providing insights and managing Information Technology (IT) and Information Systems (IS) risks on behalf of the business. You will join the Banks journey and contribute towards our strategic goal of managing risk within appetite whilst enabling adoption of emerging and new technologies for business growth. You will report...

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 ope...

Role Description Our team is part of the area Technology, Data, and Innovation (TDI) Private Bank. Within TDI, Partner data is the central client reference data system in Germany. As a core banking system, many banking processes and applications are integrated and communicate via >2k interfaces. From a technical perspective, we focus on mainframe but also build solutions on premise cloud, restful services, and an angular frontend. Next to the maintenance and the implementation of new CTB requirements, the content focus also lies on the regulatory and tax topics surrounding a partner/ client. We are looking for a very motivated candidate for the Big Data and Google Cloud area. Your key respon...

We are looking for an Accountant to join our lease and commission team in Hyderabad. This is an amazing opportunity to work on a centralized process. About You experience, education, skills, and accomplishments At least 1 years experience with B.Com. graduation/MBA Finance/ CA/ CA-Inter (accounting background must). Experience in General Accounting. Knowledge of general accounting practices and principles Good exposure in prepaid/accrual reconciliations process and clearing reconciling items along with month-end accounting/reporting activities. Candidate should be ready to take up any General Accounting Function role including Prepaids & Accruals process, Lease & Commission as per needs. Int...

About your role As a Sub Capability Lead, you will play a pivotal role in supporting technology portfolio & product management, driving solutions that align with business strategies and derive value. You will lead cross-functional teams & bring thought leadership to the capability. By fostering a high-performing, self-organising team culture, you will enable efficient collaboration and empower team members to make critical decisions. Your role will involve leading the delivery of key Products requiring functional depth & business relationship management, managing portfolio resources and budgets, and ensuring clear communication with stakeholders. You will maintain strategic application lands...

What you'll do Joining us in a highly collaborative role, youll be contributing to the transformation of testing using quality processes, tools, and methodologies, significantly improving control, accuracy and integrity. Youll make sure repeatable, constant and consistent quality is built into all phases of the idea to value lifecycle at reduced cost or reduced time to market. Its a chance to work with colleagues at multiple levels, and with cross-domain, domain, platform and feature teams, to build in quality as an integral part of all activities. Additionally, youll be: Supporting the design of automation test strategies, aligned to business or programme goals Evolving more predictive and ...

Join us as a Trade & Transaction Reporting Associate You'll be at the forefront of protecting the bank and supporting with the design, development, and undertaking of assurance activity on an end-to-end basis This is a varied role, where youll be supporting with exception management, reconciliations, controls testing, process management and issue investigation and resolution This is an opportunity to develop relationships with stakeholders across the bank, allowing great exposure for you and your work This role is available at senior analyst level What you'll do In your new role, youll be supporting with trade and transaction reporting and executing a variety of processes. This will include ...

Role Description The Payments Processing Operator is responsible for the accurate and timely processing of all types of payments including processing of physical cash/valuables, as well as the handling of cash related investigations. This includes the processing of time-critical, complex transactions on behalf of the Banks internal and external clients, cash-related investigations involving enquiries from clients and internal stakeholders on cash payments before and after execution. It often involves time critical, potentially complex or in some cases regulated tasks including interaction with internal and external stakeholders. The Payments Processing Operator undertakes the complete and ac...

Role Description 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). 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 ...

Role Description We are seeking a detail-oriented Operations Analyst to handle the initial processing of annual and semi-annual financial reports. The role involves executing a series of tasks to ensure compliance, accuracy, and efficiency in report preparation, including layout management, regulatory checks for various fund types. The role is to perform several key functions that support and control the business in complying with several regulatory requirements Perform initial processing of annual and semi-annual reports using QuarkXPress, along with other regulatory reporting BAU activities ensuring high-quality layout and formatting. Conduct IP-control checks and manage CMS (Content Manag...

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). This role will also indulge in supporting in-house tech requirements in terms of building out reports, macros etc. What well offer you Your key responsibilities Performing and/or managing various exception management functions across report...

Role Description Our team is part of the area Technology, Data and Innovation (TDI) Private Bank. Within TDI, Partnerdata is the central client reference data system in Germany. As a core banking system, many banking processes and applications are integrated and communicate via >2k interfaces. From a technical perspective, we maintain critical functionality on the mainframe, but build new solutions (REST services, Angular frontend, analytics capabilities) in a public and private cloud environment. Next to the maintenance and the implementation of new CTB requirements, the content focus also lies on the regulatory and tax topics surrounding a partner/ client. We are looking for a very motivat...

Role Description Regulatory Reporting is responsible for establishing and maintaining control frameworks designed to manage regulatory - monitoring, surveillance, compliance, transaction monitoring and screening. As a Regulatory Reporting team member, you will be responsible for managing daily reporting tasks and remediation activities. Your key responsibilities Participate in change and BAU activities. Perform daily reviews of exceptions within the SLAs. Ensure accurate investigation and timely escalations. Identify opportunities to create efficiency in the current process. Liaise with internal stakeholders for issue resolutions Participate in new system implementation and projects Review a...

Job Title Trade Finance Non-Financial Risk Management Center of Excellence (TF NFR; CoE) , Associate Trade Finance Non-Financial Risk Center of Excellence is looking for bright candidates with good Trade Finance and Non-Financial Risk background to support regulatory compliance across Trade Finance within DBs Corporate Bank. The role would suit for an individual looking to develop product knowledge, business understanding, risk factors, support global projects in an international challenging fast-paced environment, where the team and individual can make significant contribution for the Global Corporate Bank - Trade Finance and Lending Business. Your key responsibilities Support global/region...

As an Assistant Vice President- Finance Change Delivery at HSBC, you will play a crucial role in finalizing the test strategy for regulatory & stress testing changes, ensuring comprehensive test coverage for all possible scenarios. Your responsibilities will involve effective stakeholder management throughout the planning and delivery phases, overseeing testing cycles including functional testing, UAT, and OAT. You will be expected to establish an engagement model with downstream stakeholders using CART data, conduct walkthrough sessions with Business Analysts to ensure clear understanding of requirements, and involve other product leads at various testing stages. Your role will also include...

As a leading bank in Asia, DBS Consumer Banking Group is dedicated to helping customers achieve their dreams and ambitions. With a wide range of products and services, including deposits, investments, insurance, mortgages, credit cards, and personal loans, we cater to our customers" needs at every stage of life. Our financial solutions are tailored to provide the best possible support for you. In this role, you will play a crucial part in ensuring that CBG frontline staff are aware of and adhere to the set processes, policies, and codes of conduct. Your responsibilities will include identifying new areas that require the creation of controls and processes, strengthening existing processes, a...

Join our team to innovate in risk mitigation, leveraging your skills in a fast-paced, impactful environment. As a Tech Risk & Controls Associate in Cybersecurity & Tech Controls team, you will be part of a team that supports the implementation of risk mitigation strategies, controls, and action plans for the firm. Working closely with the technology risk teams and cross-functional partners, you contribute your skills and insights to the continuous improvement of risk management methods. As a valued member of the team, you will have the opportunity to learn and grow in a dynamic and fast-paced environment, making a tangible impact on technology risk and controls at the firm. We are seeking a ...

The role of the LCCI Editor is to collaborate with brands, agencies, and internal partners to ensure quality, speed, value, and compliance throughout the Customer Information Materials Lifecycle. As an LCCI Editor, your primary focus will be on creatively solving problems to support the achievement of brand goals, always striving to enhance processes effectively. You will act as an advocate for the unique character of each brand, ensuring accuracy and compliance of tactics before market entry. Your responsibilities will include: - Understanding Lilly's processes, brand strategies, tactics, and available resources - Familiarizing yourself with Lilly's culture, organizational structure, and ex...

As an Assistant Purchase Executive at Ganpat University, located in Kherva, Mahesana, you will play a crucial role in supporting procurement activities. Your responsibilities will include ensuring timely acquisition of goods and services, negotiating with suppliers, and maintaining compliance with procurement policies. Your strong analytical, negotiation, and organizational skills will be essential in effectively supporting the university's purchasing operations. You will assist in the procurement process by ensuring the timely acquisition of articles and other required items to prevent delays. Additionally, you will support in generating and processing purchase orders based on approved requ...

As a Compliance Officer at Edrington, you will play a crucial role in establishing a strong compliance function in a high-risk region like India. Your primary responsibility will be to ensure that the company operates with integrity and in full compliance with internal and external regulatory requirements. Reporting to the Chief Operating Officer, you will provide compliance and regulatory advice and support to the India leadership team. Your key tasks will include executing the India Compliance Program, performing regular controls, and reporting findings to senior management and the global legal team. You will collaborate with various local functions to instill a proactive, compliance-first...

Position: Associate Data Content Researcher Team (Supervisory Org): Reference and Entity Data No. of position: 1 Shift: Flexible to work in shifts. Morningstar’s Research group provides independent analysis on individual securities, funds, markets, and portfolios. The Research group also provides data on hundreds of thousands of investment offerings, including stocks, mutual funds, and similar vehicles, along with real-time global market data on millions of equities, indexes, futures, options, commodities, and precious metals, in addition to foreign exchange and Treasury markets. Morningstar is one of the largest independent sources of fund, equity, and credit data and research in the world,...

POSITION DESCRIPTION: The candidate will support the Policies & Procedures and Training (PP&T) team in general functions and administration of the policy, procedure and training management processes through systems (Cornerstone, ServiceNow, Asana, and Excel), and other PP&T priorities and initiatives as appropriate. The candidate will be expected to: Support the Global Head of Policies & Procedures and Training and the Learning & Development Training group to help in assigning and managing the administration of Legal and Compliance-owned training. Generate regular and ad-hoc training status reports using the Learning Management System (LMS) (Cornerstone). Work with the PP&T team to manage po...

The Embedded Risk in India is a 10FTE team and part of a broader team of 30+ covering all aspects of the DB Risk Framework and Regulatory support for KYC Ops, Client Data Management (CDM) and Business Financial Crime Risk (BFCR). This role will report locally into an India based Embedded Risk Team (ERT) Lead and functionally to the Control Testing Lead in UK. The role will work closely with global peers to help provide a complete picture of the risk profile, ensuring that handoffs and dependencies across functions/regions are transparent and understood. Engages regularly with the first line processing teams and in collaboration with Regulatory Management Group, Anti Financial Crime (AFC), Di...

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 exec...

Corporate Title: AVP The DWS Non-financial Risk Management (NFRM) team is part of the DWS Chief Risk office within the DWS CFO division. The DWS Chief Risk office is a dedicated risk oversight and control function, independent from the Front Office and mandated to manage financial, non-financial and investment risks for DWS Group and its subsidiaries. DWS NFRM acts as 2nd line of defense (2LoD) Risk Control Function with the current mandate: Develop, establish and assure qualitative, effective and consistent framework for Non-financial Risk Management and specific NFR risk types Oversee NFR remediation and adherence to risk appetite and tolerance Coordinate integrated NFR reporting Act as Ri...