Business Supervisory Office – Regulatory Control Senior Advisor, AVP

Deutsche Bank — Mumbai Nirlon Know. Pk B4-B5

Job Description: Job Title: Business Supervisory Office – Regulatory Control Senior Advisor, AVP Location: Mumbai, India Role Description As a support role in the Business Supervisory Office (BSO) team, you will ensure that, The US Private Banking Business is compliant with local rules and regulations in transacting business for its clients. You shall also assist in reviewing that all business transacted for the clients are in their best interest (i.e. compliant with the Reg BI rule) and in line with their Suitability and risk profiles. This requires reviewing and providing disposition for daily trade alerts generated via the Surveillance systems implemented, analysis of trade related data and identify any themes that revolve around market manipulation, which in turn would need to be escalated to relevant onshore stakeholders (i.e. review compliance with applicable Market Abuse Regulations). In addition, it also requires assistance to onshore stakeholders with Transaction Monitoring including the review of all domestic/cross-border wire transfers executed by the client with the sole objective of ensuring that there is no suspicion of potential money laundering. 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 Assist in carrying out supervision of the US Private Banking Business to ensure compliance with applicable rules and regulations Daily, Weekly, Monthly, Quarterly surveillance report creation and review support of WM accounts and transactions, as part of 1st Line of Defense reviews

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