Senior AFC & Compliance Officer, VP

Job Title: Senior AFC & Compliance Officer, VP

Location: Pune, India

Job Description:

This Senior AFC & Compliance Officer position is a Business Line Compliance role responsible for the compliance matters for DWS India and DWS Philippines. The role has a fair mix of advisory, review and monitoring and reporting components and requires dealing with varied stakeholders across DWS India and DWS Philippines service lines (mainly but not limited to Technology, Operations, Research and Finance), Infrastructure functions at group and legal entity level, and Compliance leadership across group entities.

What we’ll offer you

As part of our flexible scheme, here are just some of the benefits that you’ll enjoy

• Best in class leave policy
• Gender neutral parental leaves
• 100% reimbursement under childcare assistance benefit (gender neutral)
• Sponsorship for Industry relevant certifications and education
• Employee Assistance Program for you and your family members
• Comprehensive Hospitalization Insurance for you and your dependents
• Accident and Term life Insurance
• Complementary Health screening for 35 yrs. and above

Your key responsibilities

Country Compliance Advisory and Compliance Risk Management:

• Monitoring and tracking of local regulatory requirements, developments impacting the firm
• Advisory and approvals on all relevant regulatory compliance issues in relation to the firm’s activities, via creation of internal compliance policies; implementation of procedures (TPRM, NPA etc), communications, monitoring and training programmes
• Assist in coordinating with internal stakeholders on regulatory inquiries and requests (where applicable)
• To track and maintain records of regulatory communications and requests (where applicable)
• Participate in ad hoc Compliance projects from time to time
• Manage and advise senior stakeholders including local Management on compliance matters.
• Handle and manage requests from external audit from time to time.
• Review outside business activities as requested.
• Maintain and update the Compliance Key Operating Document periodically.
• Prepare periodic management reporting as requested.

Compliance Training:

• Identifying training requirements
• Preparing training materials
• Training delivery
• Post training follow-ups and recording

Compliance investigations:

• Conduct investigation into potential breaches of Compliance policies & procedures.
• Carrying out compliance investigations, recording evidence and advise consequence management
• Recording and reporting in DB/DWS applications
• Extracting lessons learnt and training pointers

Compliance monitoring and reviews:

• Identifying applicable compliance risk types and to conduct periodic review on the effectiveness of L1 control from a 2nd Line of Defence perspective.
• Planning, scoping and fieldwork
• Reporting, tracking and follow-ups
• Analyse key compliance metrics to derive trends and horizon risks. Identify opportunities of standardisation, implement the same in coordination with compliance colleagues and update KODs when required.

Your skills and experience

• Good understanding of the asset management business and operations
• Good understanding of Outsourcing and Compliance Risk – Employee Compliance, Electronic Communication, Information Barriers etc.
• Ability to identify potential compliance risks embedded in day to day business operations
• Attention to detail while analysing and articulating Compliance risks for advisory and review.  
• Good written and communication skills augmenting sharp and fit for purpose compliance advisory and managing expectations of multiple stakeholders
• Good drafting skills for preparing training materials and KODs
• Good with PowerPoint, MS Excel and Word.
• Good data management and analytics skills
• Good communication skill and confident to independently communicate issues with senior management
• Prior experience in conducting Compliance training to a large group of audience
• Able to work independently without the need to handhold on the day-to-day work within a short period of time
• Good and positive attitude and is keen to learn and take on additional tasks if required
• Have a high sense of integrity, critical thinking and meticulous.
• Prior experience in conducting compliance investigation and reporting to senior management and senior stakeholders.
• Able to work in a fast pace working environment.

How we’ll support you

• Training and development to help you excel in your career
• Coaching and support from experts in your team
• A culture of continuous learning to aid progression
• A range of flexible benefits that you can tailor to suit your needs

About us and our teams

Please visit our company website for further information:

https://www.db.com/company/company.htm

Our values define the working environment we strive to create – diverse, supportive and welcoming of different views. We embrace a culture reflecting a variety of perspectives, insights and backgrounds to drive innovation. We build talented and diverse teams to drive business results and encourage our people to develop to their full potential. Talk to us about flexible work arrangements and other initiatives we offer.

We promote good working relationships and encourage high standards of conduct and work performance. We welcome applications from talented people from all cultures, countries, races, genders, sexual orientations, disabilities, beliefs and generations and are committed to providing a working environment free from harassment, discrimination and retaliation.

Visit Inside Deutsche Bank to discover more about the culture of Deutsche Bank including Diversity, Equity & Inclusion, Leadership, Learning, Future of Work and more besides.