2124 Regulatory Jobs - Page 5

The ideal candidate must possess strong communication skills, with an ability to listen and comprehend information and share it with all the key stakeholders, highlighting opportunities for improvement and concerns, if any. He/she must be able to work collaboratively with teams to execute tasks within defined timeframes while maintaining high-quality standards and superior service levels. The ability to take proactive actions and willingness to take up responsibility beyond the assigned work area is a plus. Senior Analyst Roles & responsibilities: Responsible for managing multiple Middle Office and Regulatory support processes Independently handle multiple clients establish self as a valued partner Build domain expertise across processes supported, assist in speedy remediation of issues, implement process improvements and build / enhance controls to prevent future escalations Participate in Middle Office / group level initiatives Responsible for ensuring Process documentation is maintained in an updated fashion at all times Functional & Technical Skills: Bachelor's Degree in B. Com /BBM or Masters Degree in M. Com/MBA/PGDM 2 to 3 years of experience in Investment Banking and having basic knowledge of finance, trade life cycle and derivatives. Should be good with logical and quantitative abilities to derive information from data. Shift Timings APAC/EMEA/NAM |Management Level SA | Travel NA

The ideal candidate must possess strong communication skills, with an ability to listen and comprehend information and share it with all the key stakeholders, highlighting opportunities for improvement and concerns, if any. He/she must be able to work collaboratively with teams to execute tasks within defined timeframes while maintaining high-quality standards and superior service levels. The ability to take proactive actions and willingness to take up responsibility beyond the assigned work area is a plus. Senior Analyst Roles & responsibilities: Responsible for managing multiple Middle Office and Regulatory support processes Independently handle multiple clients establish self as a valued partner Build domain expertise across processes supported, assist in speedy remediation of issues, implement process improvements and build / enhance controls to prevent future escalations Participate in Middle Office / group level initiatives Responsible for ensuring Process documentation is maintained in an updated fashion at all times Functional & Technical Skills: Bachelor's Degree in B. Com /BBM or Masters Degree in M. Com/MBA/PGDM 2 to 3 years of experience in Investment Banking and having basic knowledge of finance, trade life cycle and derivatives. Should be good with logical and quantitative abilities to derive information from data. Shift Timings APAC/EMEA/NAM |Management Level SA | Travel NA

Summary of the role Waystone Group Internal Audits objective to consistently assess the adequacy and effectiveness of governance and management of risks, giving an evidence-based opinion on all aspects of governance, risk management and internal controls. The Manager - Internal Audit plays is a supporting role to the Senior Manager. Holding a position in the third Line of Defense, Internal Audit will perform risk based audit testing on Waystone entities. This role will be responsible for performing testing indicated on the Internal Audit Program as agreed. Duties and Responsibilities Internal Audit Function Working with the Senior Manager and/or Head of Internal Audit: Assist in the recruitment of an Internal Audit Team to execute on the Internal Audit Testing Assist in the development of the 3 year Audit Plan to completion including an annual revalidation of Plan, to ensure that risks remain relevant and priority levels are the same Assist in the planning and execution of audit engagements and properly and adequately documents the testing from scope to report delivery. Assist in periodic and consistent Board reporting at both Waystone entity level and to the Group Audit Committee Assist in bespoke investigations/reviews as required. Internal Audit Execution Proactive engagement with stakeholders to expound, detail and comprehensively train key stakeholders on the Internal Audit Program/Framework Ensures that Internal Audit Tests/Reports are properly and adequately documented as agreed with relevant stakeholders Keeps the Senior Manager and auditee updated on the status of the audits and observations noted during the course of testing Produce Internal Audit Reports for approval by the Senior Manager- Internal Audit and/or the Head of Internal Audit Follow-up action plans for corrective actions relating to audit findings or findings arising from other reviews. Day to Day Responsible for keeping a knowledge base and skills required for the execution of the internal audit tests on regular basis Prepares and monitors the work allocation to ensure team assignments based on requisite knowledge, skills and other competencies required to complete the audit testing Provides appropriate instructions and guidelines during the execution of the audit assignment to achieve the audit objectives Timely execution of work allocation to ensure audit testing is planned, executed and completed fully, Escalates issues that may arise during an audit testing to the Internal Audit Senior Manager and/or the Head of Internal Audit Internal Audit Team Assist in the hiring of a new team initially involving recruitment, orientation and training of new employees Assist with team planning, people management, evaluation processes etc. as needed. Develop and deliver training as part of the teams professional development initiatives to enable continual team learning and performance Agrees and monitors direct reports on objectives and a professional development plan for measuring performance Executes an agreed set of objectives and goals for measuring performance Stakeholder Management Engage proactively with stakeholders to explain, detail, and comprehensively train key senior management stakeholders on the Internal Audit Program/Framework. Foster collaboration with senior management to ensure Internal Audit needs are understood and met. General Experience Experience in (i) risk assessment (ii) control & risk evaluation, and (iii) reporting. Ability to understand and assess the robustness of controls governing business processes. To perform this job successfully, an individual should be able to perform each duty independently or as part of the team and/or display an aptitude for fast learning. The duties and responsibilities listed in this job description are demonstrable of the knowledge, skill, and/or ability for a candidate. Qualifications A bachelors degree or significant experience in risk, compliance, audit or operations-based control function. Industry qualifications- CIIA or recognised accountancy qualification 8+ years relevant experience in financial services with proven path of advancement. Asset Management experience, with knowledge of UK and EU regulatory requirements is desirable Excellent interpersonal and communication skills, both written and verbal. Excellent people management skills, and the ability to balance competing deadlines and stakeholders Excellent stakeholder management skills with the ability to successfully influence people at all levels of the Waystone Group.

Job Summary: We are seeking a highly skilled and experienced Process Manager of Management Information Systems (MIS) and Workforce Management (WFM) to join our team. The successful candidate will be responsible for managing and overseeing the design, development, implementation, and maintenance of MIS and WFM processes within our organization. The Process Manager will be responsible for ensuring that our systems are running effectively, efficiently, and in compliance with regulatory requirements. Additionally, they will be responsible for identifying opportunities to improve the effectiveness and efficiency of our processes and systems. Key Responsibilities: Design, develop, implement and maintain MIS and WFM processes and systems Ensure that MIS and WFM systems are effectively and efficiently managed Ensure that all MIS and WFM systems comply with regulatory requirements Identify opportunities to improve the effectiveness and efficiency of MIS and WFM processes and systems Develop and maintain process documentation and training materials Collaborate with other departments to ensure that MIS and WFM systems are integrated with other business processes Manage a team of MIS and WFM professionals, including hiring, training, coaching, and performance management Develop and manage the MIS and WFM budget : Bachelor's degree in computer science, information systems, or related field 5+ years of experience in MIS and WFM process management Experience in managing a team of MIS and WFM professionals Strong knowledge of MIS and WFM software and systems Strong analytical and problem-solving skills Excellent communication and interpersonal skills Strong project management skills Ability to work effectively in a team-oriented environment Knowledge of regulatory compliance requirements

Job Summary: We are seeking a highly skilled and experienced Process Manager of Management Information Systems (MIS) and Workforce Management (WFM) to join our team. The successful candidate will be responsible for managing and overseeing the design, development, implementation, and maintenance of MIS and WFM processes within our organization. The Process Manager will be responsible for ensuring that our systems are running effectively, efficiently, and in compliance with regulatory requirements. Additionally, they will be responsible for identifying opportunities to improve the effectiveness and efficiency of our processes and systems. Key Responsibilities: Design, develop, implement and maintain MIS and WFM processes and systems Ensure that MIS and WFM systems are effectively and efficiently managed Ensure that all MIS and WFM systems comply with regulatory requirements Identify opportunities to improve the effectiveness and efficiency of MIS and WFM processes and systems Develop and maintain process documentation and training materials Collaborate with other departments to ensure that MIS and WFM systems are integrated with other business processes Manage a team of MIS and WFM professionals, including hiring, training, coaching, and performance management Develop and manage the MIS and WFM budget : Bachelor's degree in computer science, information systems, or related field 5+ years of experience in MIS and WFM process management Experience in managing a team of MIS and WFM professionals Strong knowledge of MIS and WFM software and systems Strong analytical and problem-solving skills Excellent communication and interpersonal skills Strong project management skills Ability to work effectively in a team-oriented environment Knowledge of regulatory compliance requirements

Job Summary: We are seeking a highly skilled and experienced Process Manager of Management Information Systems (MIS) and Workforce Management (WFM) to join our team. The successful candidate will be responsible for managing and overseeing the design, development, implementation, and maintenance of MIS and WFM processes within our organization. The Process Manager will be responsible for ensuring that our systems are running effectively, efficiently, and in compliance with regulatory requirements. Additionally, they will be responsible for identifying opportunities to improve the effectiveness and efficiency of our processes and systems. Key Responsibilities: Design, develop, implement and maintain MIS and WFM processes and systems Ensure that MIS and WFM systems are effectively and efficiently managed Ensure that all MIS and WFM systems comply with regulatory requirements Identify opportunities to improve the effectiveness and efficiency of MIS and WFM processes and systems Develop and maintain process documentation and training materials Collaborate with other departments to ensure that MIS and WFM systems are integrated with other business processes Manage a team of MIS and WFM professionals, including hiring, training, coaching, and performance management Develop and manage the MIS and WFM budget : Bachelor's degree in computer science, information systems, or related field 5+ years of experience in MIS and WFM process management Experience in managing a team of MIS and WFM professionals Strong knowledge of MIS and WFM software and systems Strong analytical and problem-solving skills Excellent communication and interpersonal skills Strong project management skills Ability to work effectively in a team-oriented environment Knowledge of regulatory compliance requirements

Job Summary: We are seeking a highly skilled and experienced Process Manager of Management Information Systems (MIS) and Workforce Management (WFM) to join our team. The successful candidate will be responsible for managing and overseeing the design, development, implementation, and maintenance of MIS and WFM processes within our organization. The Process Manager will be responsible for ensuring that our systems are running effectively, efficiently, and in compliance with regulatory requirements. Additionally, they will be responsible for identifying opportunities to improve the effectiveness and efficiency of our processes and systems. Key Responsibilities: Design, develop, implement and maintain MIS and WFM processes and systems Ensure that MIS and WFM systems are effectively and efficiently managed Ensure that all MIS and WFM systems comply with regulatory requirements Identify opportunities to improve the effectiveness and efficiency of MIS and WFM processes and systems Develop and maintain process documentation and training materials Collaborate with other departments to ensure that MIS and WFM systems are integrated with other business processes Manage a team of MIS and WFM professionals, including hiring, training, coaching, and performance management Develop and manage the MIS and WFM budget : Bachelor's degree in computer science, information systems, or related field 5+ years of experience in MIS and WFM process management Experience in managing a team of MIS and WFM professionals Strong knowledge of MIS and WFM software and systems Strong analytical and problem-solving skills Excellent communication and interpersonal skills Strong project management skills Ability to work effectively in a team-oriented environment Knowledge of regulatory compliance requirements

We are looking for a skilled Senior Manager- Accounts and Taxation to join our team at Gulul Agri International Limited, a leading player in the beverage industry. The ideal candidate will have 17 years of experience. Roles and Responsibility Oversee financial planning, budgeting, and forecasting to drive business growth. Develop and implement effective tax strategies to minimize liabilities and optimize profits. Manage accounting operations, including accounts payable, receivable, and general ledger maintenance. Analyze financial data to identify trends, risks, and opportunities for improvement. Collaborate with cross-functional teams to achieve business objectives. Ensure compliance with regulatory requirements and industry standards. Job Requirements Strong knowledge of accounting principles, taxation laws, and regulatory requirements. Proven experience in managing financial operations and driving business growth. Excellent analytical, problem-solving, and communication skills. Ability to work effectively in a fast-paced environment and meet deadlines. Strong leadership and management skills to motivate and guide team members. Proficiency in financial software and systems to streamline processes.

About the Opportunity Job TypeApplication 18 August 2025 About The Role Title Senior Manager - Compliance Monitoring & Surveillance Department: General Counsel Shared Services Location Gurgaon, India Reports To Head of GC Shared services Compensation Grade 6 We are proud to have been helping our clients build better financial futures for over 50 years. How have we achieved thisBy working together - and supporting each other - all over the world. So, join our General Counsel (GC) Shared Services team and feel like you are part of something bigger. About your team: General Counsel (GC) is a trusted advisor to all parts of Fidelity International Limited (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. GC Shared Services function is a global centre of expertise currently in Dalian and India, providing operational support and services to the General Counsel function. Global Investment Compliance: The Global Investment Compliance (GIC) function provides advice, support, oversight and challenge to teams across Fidelitys Investment Solutions and Services (ISS) business. Stakeholders include portfolio managers, research analysts, trading desks, corporate finance, institutional teams and their respective support groups. About your role: Fiduciary duty to our clients and contributing to market integrity are responsibilities we take seriously, and it inspires us to do the right thing. As such, Fidelity is seeking a highly motivated individual who will play a pivotal role in supporting our global Investment Compliance Monitoring & Surveillance program. You will be responsible for ensuring the delivery of a comprehensive and effective surveillance programme in collaboration with colleagues and stakeholders across the organisation, in addition to the implementation and ongoing performance of desktop and thematic reviews based on business risk assessment and our risk appetite related to Fidelitys investment management activities. Your analytical skills and dedication will contribute to the integrity and success of a comprehensive oversight and assurance programme. Key Responsibilities: Provide oversight and guidance to members of the Investment Compliance Surveillance and Monitoring teams. Aid in the development and maintenance of the annual monitoring plan by reviewing global regulatory risk assessments and engaging with key stakeholders for review prioritisation. Conduct reviews of research-related products and deliverables to ensure compliance with internal guidelines and external regulations. Lead the development of dashboards, management reports, and papers for governance committees. Lead the implementation of the delivery roadmap for new surveillance systems and establish/expand existing market abuse controls. Handle investigations and escalations related to reviews performed by compliance team members on market abuse monitoring tools and employee communications on platforms such as email, Bloomberg, Zoom, Voice, or Teams. Assist in creation/update of policies & procedures, keeping abreast of regulatory changes and their impact. Ensure market abuse and communications monitoring tools are appropriately calibrated. Maintain day-to-day relationships with vendors of compliance monitoring tools. Ensure governance processes are implemented and followed for all supported activities, including SLAs, SOWs, timeliness, daily checklists, and monthly metrics reporting. Build and retain a high-performing team, including acquiring the right talent, providing training, career development, performance management, and succession planning. About you: The ideal candidate will have: Preferably 10+ years of experience in a Compliance or assurance-type role within the financial services industry. Firm understanding of concepts and practices relating to monitoring and surveillance. Strong analytical skills and experience performing thematic reviews or audits would be beneficial. Excellent written and verbal communication skills. Proven ability to coordinate and work with teammates and stakeholders across multiple locations. Strong organizational skills, capacity to work under pressure & remain motivated while completing routine tasks. 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. Its 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.

About the Opportunity Job TypeApplication 31 August 2025 About The Role Title Manager - Portfolio Compliance Monitoring Department General Counsel Shared Services Location Gurgaon, India Reports To Senior Manager - Portfolio Compliance Monitoring Level 5 Were proud to have been helping our clients build better financial futures for over 50 years. How have we achieved thisBy working together - and supporting each other - all over the world. So, join our General Counsel Shared Services Team and feel like youre part of something bigger. General Counsel 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: The General Counsel Shared services function is a global centre of expertise currently being built out in Dalian and India. It will provide operational support and services to the General Counsel function. Three key verticals of GC shared services are:- Reporting and Systems- Central hub in GC for all reporting and systems related activities. Operations - This is bouquet of various service offering for GC like Training Admin, support in Europe compliance, information barriers, legal and co sec ops. Investment Compliance- Compliance team in India provides effective monitoring of FILs funds to ensure compliance with funds mandates and regulatory rules in verticals like Portfolio compliance Monitoring, Investment Management Compliance Advisory and Investment Management Compliance Monitoring. Portfolio Compliance Monitoring: The Portfolio Monitoring team is a global function is part of FILs Global Investment Compliance and Monitoring department, with teams present in Hong Kong, London and Gurgaon. The team is primarily responsible for performing End of Day (EOD) portfolio compliance monitoring for all retail and institutional products globally managed by FIL as well as coding portfolio restrictions and investment guidelines in compliance monitoring system. The Portfolio Monitoring team also provides compliance guidance and support to FILs investment professionals, including Portfolio Managers across all asset classes, Portfolio Support Groups, Investment Risk and Portfolio Analytics teams. In relation to its portfolio compliance monitoring responsibilities, the team also engages with FILs institutional services and product management teams and other support functions, including local compliance officers, legal and investment services globally. Global Investment Compliance: The Global Investment Compliance (GIC) function provides advice, support, oversight and challenge to teams across Fidelitys Investment Solutions and Services (ISS) business. Stakeholders include portfolio managers, research analysts, trading desks, corporate finance, institutional teams and their respective support groups. About your role You will be playing a key role within the team with respect to the launch of new investment products, take-on process for new mandates and amendments of existing investment guidelines by communicating with various colleagues within investment compliance as well as externally, on the suitability of the investment restrictions and ensuring that investment restrictions are accurately coded in the Charles River compliance system. Key Responsibilities Onboarding of new clients for investment compliance by understanding the client requirements, interpreting the prospectus / investment mandate and extracting compliance restrictions to ensure guidelines and restrictions are effectively coded into compliance systems for ongoing monitoring of funds/accounts guidelines; Perform the review of regulatory and client guidelines to ensure accuracy and efficiency of existing rules coded; Regular Rule maintenance on compliance system i.e. CRD; Conduct Account Mapping / Review viz a viz applicable rule; Continuously improve compliance monitoring of guidelines and regulatory rules by assisting with compliance rule testing, new rule development, improving the automated monitoring of rule and ensuring rules are working as intended; Liaison with the broader Investment Compliance colleagues globally to ensure that investment restrictions coded on the compliance system are correctly interpreted; this may require discussions with Client Services, Relationship Directors, Legal and Product teams; Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls in coding rules; Research ad-hoc queries from compliance reporting team to determine if client portfolio is in line with the investment guidelines; Assist in resolving queries with regional compliance teams; Assist with ongoing review of relevant processes and procedures to ensure best practice; Assist in a range of FIL-wide projects or tasks; Assist with ad-hoc compliance monitoring tasks, as required. Experience and Qualifications Required Experience in Investment compliance guideline rule coding in Charles River is a must; Good understanding of Charles River system workflows and parameters; Must have knowledge of data set up in Charles River from vendors such as Bloomberg, Factset and ESG; Technology Savvy with experience in writing high quality, readable, reusable, testable code; Experience with regulatory environments such as UCITS, SFC, FCA and SEC would be an added advantage; Strong understanding of portfolio monitoring processes, including the interpretation of client investment management agreements; 9+ years of experience in working in the investment management industry (preferably in investment compliance) and of investment products; Good instrument knowledge of equities, fixed income and derivatives; Must have understanding of ESG guidelines and frameworks; Be a strategic thinker, possess strong facilitation and data gathering skills; Effective problem solver, attention to detail and ability to work to tight deadlines under pressure; CFA or Bachelor of Business or Commerce preferred; Business-level verbal and written English communication / presentation skills; Positive team player as well as the ability to work on their own initiative; Strong self-motivation, organisation, prioritisation, time management, used to adapting to unforeseen changes.

Roles and Responsibility Conduct thorough KYC checks on customers to ensure compliance with regulatory requirements. Analyze customer data and identify potential risks or discrepancies. Develop and implement effective mitigation strategies to prevent fraud and financial crimes. Collaborate with cross-functional teams to resolve complex customer issues. Provide expert guidance on KYC procedures and best practices to junior team members. Stay up-to-date with changing regulations and industry trends related to KYC. Job Requirements Strong understanding of anti-money laundering laws and regulations. Excellent analytical and problem-solving skills with attention to detail. Ability to work effectively in a fast-paced environment with multiple priorities. Effective communication and interpersonal skills, with the ability to build strong relationships with stakeholders. Experience with KYC software and systems, and the ability to learn new technologies quickly. Strong knowledge of financial crimes and fraud prevention techniques.

The ideal candidate must possess strong communication skills, with an ability to listen and comprehend information and share it with all the key stakeholders, highlighting opportunities for improvement and concerns, if any. He/she must be able to work collaboratively with teams to execute tasks within defined timeframes while maintaining high-quality standards and superior service levels. The ability to take proactive actions and willingness to take up responsibility beyond the assigned work area is a plus. Senior Analyst Roles & responsibilities: Responsible for managing multiple Middle Office and Regulatory support processes Independently handle multiple clients establish self as a valued partner Build domain expertise across processes supported, assist in speedy remediation of issues, implement process improvements and build enhance controls to prevent future escalations Participate in Middle Office group level initiatives Responsible for ensuring Process documentation is maintained in an updated fashion at all times Functional & Technical Skills: Bachelor's Degree in B. ComBBM or Masters Degree in M. Com/MBA/PGDM 2 to 3 years of experience in Investment Banking and having basic knowledge of finance, trade life cycle and derivatives. Should be good with logical and quantitative abilities to derive information from data. Shift Timings APAC/EMEA/NAM |Management Level SA | Travel NA

Roles and Responsibility Conduct thorough KYC checks on customers to ensure compliance with regulatory requirements. Analyze customer data and identify potential risks or discrepancies. Develop and implement effective mitigation strategies to prevent fraud and financial crimes. Collaborate with cross-functional teams to resolve complex customer issues. Provide expert guidance on KYC procedures and best practices to junior team members. Stay up-to-date with changing regulations and industry trends related to KYC. Job Requirements Strong understanding of anti-money laundering laws and regulations. Excellent analytical and problem-solving skills with attention to detail. Ability to work effectively in a fast-paced environment with multiple priorities. Effective communication and interpersonal skills, with the ability to build strong relationships with stakeholders. Experience with KYC software and systems, and the ability to learn new technologies quickly. Strong knowledge of financial crimes and fraud prevention techniques.

Roles and Responsibility Conduct thorough KYC checks on customers to ensure compliance with regulatory requirements. Analyze customer data and identify potential risks or discrepancies. Develop and implement effective mitigation strategies to prevent fraud and financial crimes. Collaborate with cross-functional teams to resolve complex customer issues. Provide expert guidance on KYC procedures and best practices to junior team members. Stay up-to-date with changing regulations and industry trends related to KYC. Job Requirements Strong understanding of anti-money laundering laws and regulations. Excellent analytical and problem-solving skills with attention to detail. Ability to work effectively in a fast-paced environment with multiple priorities. Effective communication and interpersonal skills, with the ability to build strong relationships with stakeholders. Experience with KYC software and systems, and the ability to learn new technologies quickly. Strong knowledge of financial crimes and fraud prevention techniques.

The ideal candidate must possess strong communication skills, with an ability to listen and comprehend information and share it with all the key stakeholders, highlighting opportunities for improvement and concerns, if any. He/she must be able to work collaboratively with teams to execute tasks within defined timeframes while maintaining high-quality standards and superior service levels. The ability to take proactive actions and willingness to take up responsibility beyond the assigned work area is a plus. Senior Analyst Roles & responsibilities: Responsible for managing multiple Middle Office and Regulatory support processes Independently handle multiple clients establish self as a valued partner Build domain expertise across processes supported, assist in speedy remediation of issues, implement process improvements and build enhance controls to prevent future escalations Participate in Middle Office group level initiatives Responsible for ensuring Process documentation is maintained in an updated fashion at all times Functional & Technical Skills: Bachelor's Degree in B. ComBBM or Masters Degree in M. Com/MBA/PGDM 2 to 3 years of experience in Investment Banking and having basic knowledge of finance, trade life cycle and derivatives. Should be good with logical and quantitative abilities to derive information from data. Shift Timings APAC/EMEA/NAM |Management Level SA | Travel NA

The ideal candidate must possess strong communication skills, with an ability to listen and comprehend information and share it with all the key stakeholders, highlighting opportunities for improvement and concerns, if any. He/she must be able to work collaboratively with teams to execute tasks within defined timeframes while maintaining high-quality standards and superior service levels. The ability to take proactive actions and willingness to take up responsibility beyond the assigned work area is a plus. Senior Analyst Roles & responsibilities: Responsible for managing multiple Middle Office and Regulatory support processes Independently handle multiple clients establish self as a valued partner Build domain expertise across processes supported, assist in speedy remediation of issues, implement process improvements and build enhance controls to prevent future escalations Participate in Middle Office group level initiatives Responsible for ensuring Process documentation is maintained in an updated fashion at all times Functional & Technical Skills: Bachelor's Degree in B. ComBBM or Masters Degree in M. Com/MBA/PGDM 2 to 3 years of experience in Investment Banking and having basic knowledge of finance, trade life cycle and derivatives. Should be good with logical and quantitative abilities to derive information from data. Shift Timings APAC/EMEA/NAM |Management Level SA | Travel NA

About The Role : Job TitleKnow Your Client (KYC) Analyst LocationJaipur, India 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. What well offer you 100% reimbursement under child care 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 6+ 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 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.

About The Role : Job TitleClient Junior KYC Officer - Associate LocationMumbai, India Role Description Our global suite of cash management services offers a wide range of solutions to meet clients specific requirements thereby providing them with the time and means to concentrate on their core business. Furthermore, our market leading products and services enable our clients to reduce transaction costs, consolidate operations and expand revenue opportunities. Our award-winning client service centres are in all the relevant financial centres worldwide, providing clients with access to an unrivalled global network. The Client KYC Officer supports the Institutional Cash Management/Trade Finance team covering financial institution clients within the respective team. The position works directly with the Accountable Client Owner (ACO) responsible for the client relationships with our correspondent banking/trade finance clients to complete client KYC adoptions and reviews, ensuring strict adherence to Deutsche Banks KYC / Anti Money Laundering (AML) Compliance requirements. Further, the role also fulfils important support functions in the non-financial risk management of client relationships, such as analysis of clients transaction flow. Todays regulatory and compliance environment requires a robust and efficient KYC process and strong non-financial risk management, making the role key to the first line of defence role of the business. 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 KYC Risk Management including active client research and screening prospective clients before/during on-boarding as well as part of on-going periodic review process Direct client outreach, collecting information & documentation according to periodic review timelines and follow up to ensure complete and timely delivery, complete relevant KYC forms / systems and updating of client KYC profiles driven by material events Regular KYC-related client discussions and AML interviews Conduct and assess Account Activity Reviews for continuous monitoring of clients transaction flows Liaise with Client Service team for review of the quality of clients AML field inquiry responses; coordinate with local Compliance and other GTB / CIB / Infrastructure areas on client KYC issues as required Your skills and experience Previous experience in Correspondent Banking / Trade Finance / Compliance / KYC in a large financial institution preferred Good understanding of KYC laws / regulations, compliance risk as well as non-financial risk, and documentation aspects of KYC process for correspondent banking/trade finance relationships Strong writing skills and fluency in written and spoken English required. Excellent communication skills and the ability to build and maintain relationships with colleagues and clients at all levels of seniority Accuracy, diligence, and the ability to deliver high quality results within tight deadlines combined with strong analytical skills and ability to work under pressure 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.

About The Role : Job Title Regulatory Reporting Operations Analyst LocationBangalore, India 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 Management System) processing to ensure data integrity and system compliance. Support the preparation and review of TER/KIID documents, ensuring adherence to regulatory standards. Complete and maintain various checklists, pre-checks, cover sheets, and tracking lists to ensure all tasks are documented and executed accurately. Maintain accurate and detailed documentation for all process-related activities, including special requirements and deviations. Perform pre-checks to identify and resolve discrepancies in layout, data, or compliance before final submission. Ensure 4 eye principal is being followed in the team. Work closely with internal teams to coordinate report preparation, resolve issues, and meet deadlines. Escalate all issues in time, to the appropriate level, to avoid any adverse impact on the business. Work closely with internal teams to coordinate report preparation, resolve issues, and meet deadlines. Assist manager in reviewing process changes or optimization and update the procedures. Ensure teamwork culture is practiced. Ensure proper back-ups created and assist other teams during contingencies (Staff shortage, high volumes etc.) 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 To ensure processes are performed as per defined Key Operating Processes. (KOP). The Operation Analyst will be responsible for completion of day-to-day activity as per standards and ensure accurate and timely delivery of assigned production duties. You needs to ensure team adherence to all cut-off times/deadlines and quality of processing as maintained in SLAs. You should ensure that all queries/first-level escalations related to routine activities are responded to within the period specified. Needs to conduct checks and maintain documentation to ensure that there are sufficient records for future reference. Should take responsibility and act as backup for the team colleagues in their absence and share best practices with the team. To escalates unusual activity (new client activity, slow systems, delayed approvals, deviations form KOP). Awareness of risks attached to the processes and escalation of potential risks to the bank to Team Manager. To communicate with the stakeholders to share any process specific updates or to escalate any issues. Stay updated on basic regulatory requirements and changes with support from training provided by organization. Your skills and experience Basic understanding of Asset Management, Regulatory Reporting, financial reporting processes. Should have 0-3 years of experience. (Regulatory reporting experience would be beneficial). Knowledge on usage of applications/ tools like Aladdin, Bloomberg etc. Good communication (verbal & written) and interpersonal skills. Willingness to take on responsibility, priorities work and mange time effectively and learn new tasks. Strong attention to detail and ability to manage multiple checklists and tasks. Sound desktop PC skills including Microsoft Office. Excellent organizational and documentation skills. Basic German Language knowledge would be beneficial. Ability to work under tight deadlines and ensure compliance with regulatory standards. Team-playing skills and flexibility in working hours. How well support you About us and our teams Please visit our company website for further information: https://www.db.com/company/company.htm

About The Role : Job Title Employee Compliance Officer Corporate Title Associate Location Bangalore, India Role Description As an Associate of Employee Compliance in Central Compliance, primary focus will be to review, approve and monitor employee activity within the Personal Account dealing Trading, Employee Trade Surveillance and Consequence Management for APAC, Americas and EMEA region. Team / division overview The Employee Compliance Department protects the Bank by advising on ethical conduct, identifying regulatory solutions, safeguarding integrity and reputation, and promoting, in partnership with the business, a culture of Compliance. Given the increasing regulatory scrutiny and the need to implement a robust and globally consistent control framework, an effective Central Compliance function is a key component to the Departments success. 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 a Reward Specialist you will: Hands on experience in various processes of Employee Compliance - Personal Account dealing Trading, Outside Business Interests, Private Investments, Employee Trade Surveillance and Consequence Management. Liaise with Country Compliance Officers, the business, Operations or Technology in the development, review, testing and/or enhancement of procedures Ability to multi task, the prospective candidate will be dealing with multiple requests. It is critical that requests are managed in an orderly and timely manner Preparing MI and Tracking KPIs and Status updates for senior management. Handle the team of Analysts and Senior Analysts, Team management and People Development. Handling the BAU of the process along with the process escalations, Stakeholder management, Global projects. Your skills and experience Bachelors or Masters in Commerce and Finance. The candidate should have minimum 6 to 8 years prior experience in Investment Banking Operations. Having an exposure to Compliance Operations or performing Compliance related roles is a plus. Must be detail oriented, Strong communicator, comfortable in presenting and explaining analysis to senior management Knowledge/experience with array of financial products (including stocks, bonds, equity/credit derivatives) Advanced MS Excel and PowerPoint skills (pivot tables, experience with large data sets, proficient in data manipulation and presentation) Team player with great attitude and work ethic, ability to multi-task on several different assignments/projects, works well under pressure and meet deadlines Strong attention to detail, coupled with strong problem solving skills Very good Microsoft Office skills (Word, PowerPoint and especially Excel) 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.

About The Role : Job TitleAssociate Regulatory Reporting Team LocationJaipur, India 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 Markets in Financial Directive MiFID II. This role forms part of a team in Bangalore that supports Regulatory reporting across all asset classesRates, Credit, Commodities, Equities 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 , 100% reimbursement under childcare assistance benefit (gender neutral) Sponsorship for Industry relevant certifications and education Accident and Term life Insurance Your key responsibilities Performing and/or managing various exception management functions across reporting for all asset classes, across multiple jurisdictions 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 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 Perform root cause analysis or exceptions with investigation & appropriate escalation of any significant issues found through testing, rejection remediation or any other stream to senior management to ensure transparency exists in our controls Ability to build and maintain effective operational process and prioritise activities based on risk. Clear communication and escalation. Ability to recognize high risk situations and deal with them in a prompt manner. Documentation of BI deliverables. Support the design of data models, reports and visualizations to meet business needs Develop end-user reports and visualizations Your skills and experience 5-8years work experience within an Ops role within financial services. Graduate in Science/Technology/Engg./Mathematics. Regulatory experience (MIFIR, EMIR, Dodd Frank, Bank of England etc.) is preferred Preferable experience in Middle Office/Back Office, Reference Data and excellent in Trade Life Cycle (At least 2 asset Classes Equities, Credits, Rates, Foreign Exchange, Commodities) Ability to work independently, as well as in a team environment Clear and concise communication and escalation. Ability to recognise high risk situations and deal with them in a prompt manner. Ability to identify and prioritize multiple tasks that have potential operational risk and p/l impact in an often high-pressure environment Experience in data analysis with intermediate/advanced Microsoft Office Suite skills including VBA. Experience in building reports and BI analysis with tools such as SAP Business Objects, Tableau, QlikView etc. Advanced SQL Experience is preferred. 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.

About The Role : Job TitleAssociate Regulatory Reporting Team LocationBangalore, India 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 Markets in Financial Directive MiFID II. This role forms part of a team in Bangalore that supports Regulatory reporting across all asset classesRates, Credit, Commodities, Equities 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 , 100% reimbursement under childcare assistance benefit (gender neutral) Sponsorship for Industry relevant certifications and education Accident and Term life Insurance Your key responsibilities Performing and/or managing various exception management functions across reporting for all asset classes, across multiple jurisdictions 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 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 Perform root cause analysis or exceptions with investigation & appropriate escalation of any significant issues found through testing, rejection remediation or any other stream to senior management to ensure transparency exists in our controls Ability to build and maintain effective operational process and prioritise activities based on risk. Clear communication and escalation. Ability to recognize high risk situations and deal with them in a prompt manner. Documentation of BI deliverables. Support the design of data models, reports and visualizations to meet business needs Develop end-user reports and visualizations Your skills and experience 5-8years work experience within an Ops role within financial services. Graduate in Science/Technology/Engg./Mathematics. Regulatory experience (MIFIR, EMIR, Dodd Frank, Bank of England etc.) is preferred Preferable experience in Middle Office/Back Office, Reference Data and excellent in Trade Life Cycle (At least 2 asset Classes Equities, Credits, Rates, Foreign Exchange, Commodities) Ability to work independently, as well as in a team environment Clear and concise communication and escalation. Ability to recognise high risk situations and deal with them in a prompt manner. Ability to identify and prioritize multiple tasks that have potential operational risk and p/l impact in an often high-pressure environment Experience in data analysis with intermediate/advanced Microsoft Office Suite skills including VBA. Experience in building reports and BI analysis with tools such as SAP Business Objects, Tableau, QlikView etc. Advanced SQL Experience is preferred. 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.

About The Role : Job TitleKnow Your Client (KYC) Analyst, NCT LocationBangalore, 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 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 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 skills and experience Should have more than 6 months experience in Corporates and with good communication and system knowledge. 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.

About The Role : Job TitleKnow Your Client (KYC) Analyst, NCT LocationMumbai, 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. 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. 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 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 skills and experience Should have more than 6 months experience in Corporates and with good communication and system knowledge. 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.

About The Role : Job TitleRegulatory Reporting Associate LocationBangalore, India 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. 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 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 and update KOPs, SOPs etc. Keep track and maintain issue Jiras Prepare daily, weekly, and monthly MI. Your skills and experience Understanding of Transaction Reporting, Post Trade Reporting and Regulatory reporting framework Knowledge of Non-Financial Regulations. EMIR Refit & MiFID is a priority. Knowledge of Jira application Knowledge of Derivatives products Business Intelligence Skills (good to have) Alteryx, Tableau, SQL etc. Need to be aware and have and understanding of market, financial institutions, operations errors and risks. Must exhibit strong partnership skills. Team player, highly motivated, problem solver Inquisitive and analytical Strong communication skills Bachelors degree How well support you . . . .