5 Risk Controls Jobs

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), Divisional Control Regulatory Office (DCRO), Business & Other 2nd line functions to ensure full transparency and governance of risk. Your key responsibilities Risk & Control Assessments - Review the design adequacy and performance effectiveness (at a high level/light touch) of controls and their corresponding documentation (Desk Top Procedures) Governance - Ensure that an effective, embedded and consistently applied governance structure is in place Key Risk Indicators - Ensure a complete set of KRI's is in place, has definitions, RAG's (where applicable), has reporting parameters and a subjective assessment of the CATR (complete, accurate, timely and relevance) of those KRI's has been reached. Review and challenge validity of commentary, spot check monitoring by, looking for trend anomalies (spikes/dips) that may risk profile shifts, reporting errors or other issues requiring investigation Audit SII & Incident processes - Ensure compliance to the firm audit policy, firm Self-Identified Issue Guidance and incident escalation process through training, support guidance and challenge. Facilitate management with adequate reporting and governance, to ensure zero overdue items and no last min extensions are required and perform pre-closure submission review and validation. Regulatory Compliance Transparency - Ensure there is a mechanism in place to monitor regulatory compliance and that the mechanism is performing effectively. Risk Culture - Design and deliver a risk culture improvement programme to promote transparency, awareness, engagement with the risk agenda. Work in collaboration with multiple first and second line functions (inc. Regulatory Management Group (RMG), Anti financial Crime (AFC), Divisional Control Regulatory Office (DCRO) and the Business Your skills and experience The successful individual will have diverse experience of the financial sector in any of the following areas; Operations, risk/controls, Control testing, Regulatory teams/processes, quality assurance, compliance or audit and have experience managing deliverables & maintaining effective relationships with global senior management. Substantial and relevant experience in a global banking environment Exposure to Client On boarding, KYC or similar regulatory projects is preferred Strong communication and interpersonal skills Strong analytical and problem solving skills Ability to work under pressure to tight deadlines Strong organisational and administrative skills Client focused approach and ability to react quickly to changing demands

Act as a liaison between the Group Risk & Compliance function and the Wahed Ventures Business team, ensuring alignment of strategic risk and compliance priorities. Build a deep understanding of the ECF & RECF business model across the UK, Malaysia, and USA. Support the development and periodic review of policies, ensuring they reflect current regulatory requirements and business operations for CF platforms. Identify and evaluate key regulatory, operational, and reputational risks, and assist in formulating and implementing appropriate mitigating controls in collaboration with function owners.

Role purpose: Support Global leadership in driving compliant financial processes and behaviors that ensure complete and accurate financial reporting, safeguard financial assets and prevent and/or detect fraud. Implement and maintain a robust internal control framework supported by an efficient performance monitoring process Actively support the design and implementation of critical transformation processes to embed relevant Financial Compliance aspects. Support management in the identification and mitigation of key Financial Compliance risks. Provide pro-active, intelligent information to support decision making, mitigate risks, prevent fraud and safeguard assets. Raise capability of finance and non-finance colleagues in area of financial compliance through education and awareness Support, guide and share best practice with management for implementation of financial compliance areas Lead the cultural shift towards technological adoption by developing training programs, upskilling team members, and fostering data-driven decision-making within the compliance function. Drive and support management on Internal Control Self-Assessment. Accountabilities : Review Global processes and assess its implication on financial compliance Provide insights to leadership for effective risk identification and support in implementation of actions for risk mitigation (such as Key Risk Indicators as per COSO Framework) Drive Aligned Assurance program in collaboration with Legal Ethical Compliance, Risk Management, Internal Audit (Assurance Partners) Develop and execute a comprehensive automation strategy for the Global Financial Compliance Function, leveraging low-code/no-code platforms, AI, and process mining tools to enhance continuous controls monitoring. Oversee the implementation of tech-driven solutions, including AI-powered dashboards, predictive analytics models, and automated testing procedures, ensuring compliance with regulations and internal policies. Collaborate with IT, audit teams, and technology vendors to integrate new solutions seamlessly within existing systems and workflows. Managing a team of experienced professionals to ensure business delivery (This includes all the admin related responsibilities). Critical success factors & key challenges Strong awareness of Financial Risk & Controls and effective ways of risk management Strong, effective communication in relation to key stakeholders (global, regional, local), including senior managers Global player: ability to think globally but to work effectively on regional and local level by considering different cultures and ways of working Stay abreast of changing rules and legislation; and the implement the ongoing testing requirements and documentation accordingly. High degree of intellectual curiosity; ability to self-learn and to continuously identify areas of improvement in existing processes. Ability to influence management and bring a consensus Qualifications Critical knowledge Deep understanding of financial compliance and internal controls concepts Solid understanding of control documentation requirements and how it is implemented / sustained Advanced Data Analysis and Technology skills are required. Excellent skills with Excel, PowerPoint and SharePoint are desirable. Excellent communication skills, knowledge of internal controls, business process best practices within agrochemicals/manufacturing environment, and auditing techniques. Good understanding and practical exposure to PCAOB, COSO & US/China SOX requirements Critical experience Chartered Accountant / Finance Graduation / Post Graduation qualification CISA is preferable but not mandatory 12-14 years of post Qualification experience including in Financial Compliance or Auditing experience with SAP/ERP in a decentralized environment. Experience in coordinating and/or supporting internal control testing programs including relationship management with external auditors Worked in large, multinational organizations. Exposure to Shared Service Environment is advantage. Experience in Big4 Audit firm is added advantage. Exposed to senior management / stakeholder management linked to written communication, face-to-face discussions and formal presentations Good and firm understanding in the design, implementation and monitoring of internal controls, risk libraries and compliance process management Critical technical, professional and personal capabilities Ability to handle multiple and shifting priorities without losing focus is necessary. Demonstrated strong communication skills, including strong English skills (written and spoken); must be able to communicate well with senior management in both verbal and written form. Ability to communicate complicated issues in an easy to understand and concise method. Self-starter, positive attitude, high-energy, motivated, enthusiastic with an outgoing, can-do attitude. Ability to drive changes and implementation of processes and standards. Critical leadership capabilities Project management People/team management Decision Making Sets ambitious strategic goals Leads change and holds ambiguity Builds a culture of innovation Customer Centricity Develops people, organization and self Collaborates across boundaries Courage and risk-management ability Role purpose: Support Global leadership in driving compliant financial processes and behaviors that ensure complete and accurate financial reporting, safeguard financial assets and prevent and/or detect fraud. Implement and maintain a robust internal control framework supported by an efficient performance monitoring process Actively support the design and implementation of critical transformation processes to embed relevant Financial Compliance aspects. Support management in the identification and mitigation of key Financial Compliance risks. Provide pro-active, intelligent information to support decision making, mitigate risks, prevent fraud and safeguard assets. Raise capability of finance and non-finance colleagues in area of financial compliance through education and awareness Support, guide and share best practice with management for implementation of financial compliance areas Lead the cultural shift towards technological adoption by developing training programs, upskilling team members, and fostering data-driven decision-making within the compliance function. Drive and support management on Internal Control Self-Assessment. Accountabilities : Review Global processes and assess its implication on financial compliance Provide insights to leadership for effective risk identification and support in implementation of actions for risk mitigation (such as Key Risk Indicators as per COSO Framework) Drive Aligned Assurance program in collaboration with Legal Ethical Compliance, Risk Management, Internal Audit (Assurance Partners) Develop and execute a comprehensive automation strategy for the Global Financial Compliance Function, leveraging low-code/no-code platforms, AI, and process mining tools to enhance continuous controls monitoring. Oversee the implementation of tech-driven solutions, including AI-powered dashboards, predictive analytics models, and automated testing procedures, ensuring compliance with regulations and internal policies. Collaborate with IT, audit teams, and technology vendors to integrate new solutions seamlessly within existing systems and workflows. Managing a team of experienced professionals to ensure business delivery (This includes all the admin related responsibilities). Critical success factors & key challenges Strong awareness of Financial Risk & Controls and effective ways of risk management Strong, effective communication in relation to key stakeholders (global, regional, local), including senior managers Global player: ability to think globally but to work effectively on regional and local level by considering different cultures and ways of working Stay abreast of changing rules and legislation; and the implement the ongoing testing requirements and documentation accordingly. High degree of intellectual curiosity; ability to self-learn and to continuously identify areas of improvement in existing processes. Ability to influence management and bring a consensus Qualifications Critical knowledge Deep understanding of financial compliance and internal controls concepts Solid understanding of control documentation requirements and how it is implemented / sustained Advanced Data Analysis and Technology skills are required. Excellent skills with Excel, PowerPoint and SharePoint are desirable. Excellent communication skills, knowledge of internal controls, business process best practices within agrochemicals/manufacturing environment, and auditing techniques. Good understanding and practical exposure to PCAOB, COSO & US/China SOX requirements Critical experience Chartered Accountant / Finance Graduation / Post Graduation qualification CISA is preferable but not mandatory 12-14 years of post Qualification experience including in Financial Compliance or Auditing experience with SAP/ERP in a decentralized environment. Experience in coordinating and/or supporting internal control testing programs including relationship management with external auditors Worked in large, multinational organizations. Exposure to Shared Service Environment is advantage. Experience in Big4 Audit firm is added advantage. Exposed to senior management / stakeholder management linked to written communication, face-to-face discussions and formal presentations Good and firm understanding in the design, implementation and monitoring of internal controls, risk libraries and compliance process management Critical technical, professional and personal capabilities Ability to handle multiple and shifting priorities without losing focus is necessary. Demonstrated strong communication skills, including strong English skills (written and spoken); must be able to communicate well with senior management in both verbal and written form. Ability to communicate complicated issues in an easy to understand and concise method. Self-starter, positive attitude, high-energy, motivated, enthusiastic with an outgoing, can-do attitude. Ability to drive changes and implementation of processes and standards. Critical leadership capabilities Project management People/team management Decision Making Sets ambitious strategic goals Leads change and holds ambiguity Builds a culture of innovation Customer Centricity Develops people, organization and self Collaborates across boundaries Courage and risk-management ability

Your key responsibilities Responsible for trade activities including trade bookings, reconciliations, controls, liaising with other DB internal areas, resolving discrepancies and exceptions. Build and maintain good relationship with clients, External brokers, Front Office, Relationship managers and onshore team. Monitor client Credit Utilization and inform product/Risk of any breach. Work within the guidelines and controls set by management to avoid operational risk Ability to make sound judgment and escalate appropriately. Understand business and regulatory requirements and ensure we are aligned with those requirements Your skills and experience Background in financial services industry and knowledge of FX products with at least two years of related experience in a similar role; Min 5 years of total experience Forwards, Swaps, Options Product Knowledge preferred. Understanding of DBs systems (e.g. Traiana/TRM, RMS, FXPCA), processes and infrastructure would be advantageous. College degree Excellent organization skills Thoroughness and attention to details Strong written and oral communication skill Strong PC Skills Qualifications: Strong customer focus Ability to identify and prioritize multiple tasks Must feel comfortable working in an international client environment Dedication to servicing a demanding client base Effective communicator What will the employee gain from this role: Gain product knowledge support of a growing cross product business Full understanding of DB internal infrastructure interacting with various different systems and workflows Establish external and internal client relationship

Job description Insider Risk Analyst The Insider Risk Analyst plays a critical role in data loss prevention security operations, understanding the importance of the data loss controls, insider risk policies and how these protects the sensitive business data and can enhance an analyst response to events. This is a critical role expected to monitor, review and data loss and insider risk controls portfolio and help mature our monitoring and response processes. The successful candidate will be comfortable working at a technical level, reviewing and monitoring the data loss events in the company and work with the business stakeholder in containing the data loss events. Will also demonstrate working with different tools and technologies in the Data Loss and Insider Risk space. Our leadership team will be looking at this role to bring out any automation opportunities for the team to deliver on. Job expectation: The Insider Risk - Analyst will be responsible to: Ensure data loss events from multiple tools are timely reviewed within the SLA times. Work with the Line Management in containing the data loss incidents. Escalate to the relevant stakeholders/teams in solving the data loss cases. Working as part of a global insider risk team to deliver solutions to reduce manual dependencies on the workload. Proactively identify the policy fine tuning opportunities from Business As Usual (BAU) activities. Ensure the documentation is followed, improve documentation of the case resolution where possible. Mandatory skills SOC or Incident Response position Microsoft Compliance Manager SIEM, DLP, SOAR