Job Description

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Job Title: Divisional Regulatory, Risk and Control Analyst

Location: Mumbai

Role Description

The DWS Control Office is a central Business function and is mandated to represents Business in various Group and DWS fora (e.g., RCC, DB Global Policy Committee / GPC) and oversees the implementation of the NFRM framework, as (per the minimum standards) defined by the relevant 2LoD, in the respective unit. It designs the effective/adequate framework of internal Business controls in collaboration with Infrastructure functions and the functions/business lines incl. challenging the adequacy/effectiveness of the control environment and remediation plans.

The Platform Governance function focuses on Business Management, Supervision and & Monitor Relations and is mandated to:

• Monitor and report on control KPIs, challenge risk assessments and prioritise remediation steps.
• Identify control gaps, evaluate and redesign as required. Strong focus on Lessons Learned and Health Checks
• Provide Management Information for Regional and Global OpCo on a regular basis.
• Interacts with external monitors and coordinates findings and remediation across different functions.

What we\xe2\x80\x99ll offer you

As part of our flexible scheme, here are just some of the benefits that you\xe2\x80\x99ll enjoy.

• Best in class leave policy.
• Gender neutral parental leaves
• 100% reimbursement under childcare assistance benefit (gender neutral)
• Flexible working arrangements
• 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

The Divisional Regulatory, Risk and Control Analyst / Supervision Analyst provides data analysis, identifies and evaluates potential areas of non-compliance or risk, assessing impact, probability and defined risk tolerance and presents findings and proposals for risk mitigation measures.

The Divisional Regulatory, Risk and Control Analyst is responsible for supporting the delivery of the risk and control initiatives. This includes participation in risk and control activities, risk-based control reporting of key issues, performance and validation of cyclical activities such as annual control self-assessments. It may also include control testing, incident research, remediation and other ad hoc control initiatives and projects. Working closely with teams in and out of the division to understand risks impacting the group.

• Perform Supervision tasks:

• Supervisory Framework and Key Operating Document (KOD), incl. mailbox, employee matrix, Supervisor Training for new Supervisors, UBR changes, access management, questionnaire releases, audit points, monthly update calls etc e.g., UBR Updates, , review of information barrier (IB) classifications, Written Supervisory Procedures and level 1controls.
• Supervisory Controls
• Supervisory Attestation, e.g., regular updates of existing WSPs following changes of applicability or UBR.
• Supervisory Review, e.g. WSP Questionnaires (review of responses, evidencing, etc.)
• Support other regular and ad-hoc initiatives, e.g., independent Health Checks,
• Develop/provide reports on control topics, e,g, for the Global and Regional OpCos, Audit Reviews, ExBo and Supervisory Board
• Support Finding Governance by tracking of internal and external findings and provide updates in monthly meetings.
• Overall quality assurance

Your skills and experience

• Graduate/ Postgraduate with five years\xe2\x80\x99 experience in Supervision/Control functions in financial services industry
• Solid understanding of supervision framework policies/procedures & UBRs and experience of Navigator or GSS or similar platform.
• A proven track record of implementing controls and working with MI data to create reports.
• Excellent Knowledge with office tools (MS Excel, MS Word, Outlook, PowerPoint)
• Strong Analytical and Situational Problem-solving skills.
• Excellent interpersonal and communication skills in building and maintain strong relationships with key stakeholders and regional counterparts at senior levels.

How we\xe2\x80\x99ll support you

• Training and development to help you excel in your career.
• Flexible working to assist you balance your personal priorities.
• 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:

Our values define the working environment we strive to create \xe2\x80\x93 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 to discover more about the culture of Deutsche Bank including Diversity, Equity & Inclusion, Leadership, Learning, Future of Work and more besides.

Deutsche Bank