Central Compliance Officer

HITACHI VANTARA INDIA PRIVATE LIMITED; Mumbai; On-site; INR 1,200,000 - 2,100,000; Full time

Benefits offered by this job

Leave policy

Parental leaves

Childcare assistance

Certifications sponsorship

Employee Assistance Program

Hospitalization insurance

Life insurance

Health screening

Job summary

Deutsche Bank Group in Mumbai, India, seeks a Central Compliance professional to manage daily surveillance for Trade and Information Barrier alerts. The role requires coordinating with Country Compliance Officers and business units to investigate issues and implement enhancements across regions.

Based in Mumbai with APAC shift expectations, the candidate will work with stakeholders from Technology and vendors, ensuring timely and accurate surveillance outcomes while maintaining strong governance

Qualifications

• 2+ years of experience in Trade / Information Barrier Surveillance.
• Bachelor’s or Master’s in Commerce or Finance / MBA in finance or related field.
• CFA or CAMS certifications are a plus.
• Proficiency in Data analysis and MS Office (Advanced Excel and PowerPoint).
• In-depth knowledge of trade life cycle and market structure.
• Good understanding of Equity, Fixed Income, FX, Derivatives and information barrier surveillance.

Responsibilities

• Overseeing daily surveillance for alerts in Trade, Information Barrier and related channels.
• Liaise with Country Compliance Officers, business and Operations to investigate alerts.
• Collaborate with stakeholders to identify and implement surveillance system enhancements.
• Handle multiple requests and surveillance verticals across regions in a timely manner.
• Maintain constructive relationships with staff in other regions to deliver the program.
• Perform additional BAU/Non-BAU duties as assigned.

Skills

Data analysis

Advanced Excel

PowerPoint

MS Office

Trade surveillance

Information barrier surveillance

Communication skills

Stakeholder management

Analytical thinking

Regulatory knowledge

Education

Bachelor’s/Master’s in Commerce or Finance

MBA in Finance

CFA

CAMS

Tools

Excel

PowerPoint

Data analysis tools

Job description

Central Compliance, NCT Job Description

In Scope of Position based Promotions Job Title: Central Compliance, NCT Location: Mumbai, India Role Description The Compliance Department protects the Bank by advising on ethical conduct, identifying regulatory solutions, safeguarding integrity and reputation, and in partnership with the business. 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 Department’s success. The position will be based in Mumbai, India and requires the candidate to work in APAC shift.

What we’ll offer you

• 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

• Overseeing and conducting the daily surveillance for alerts generated in Trade, Information Barrier and Communication Surveillance and action the same in a timely manner.
• Liaise with Country Compliance Officers, the business, Operations to investigate surveillance alerts as necessary.
• Working with key stakeholders (e.g. Business, Technology, Third party vendors) to identify and implement enhancements to surveillance systems and programs.
• Ability to multitask, the prospective candidate will be dealing with multiple requests and working on different surveillance verticals across regions.
• It is critical that requests are managed in an orderly and timely manner
• Maintaining effective and constructive working relationships with staffs located in other regions to deliver the surveillance program
• Additional duties (BAU/ Non-BAU) as assigned

Your skills and experience

• Education and Experience: At least 2+ years of experience in relevant field, preferably in Trade / Information Barrier Surveillance
• Bachelor’s or Master’s in the field of Commerce or Finance / MBA in finance or related field
• Advanced degree or relevant certifications (e.g., CFA, CAMS) is a plus
• Proficiency in Data analysis and MS Office (esp. Advanced Excel + PowerPoint)
• In-depth knowledge of trade life cycle and market structure
• Good understanding of products such as Equity, Fixed Income, Foreign Exchange, Listed Derivatives and Information barrier surveillance
• Excellent written and verbal communication skills
• Ability to convey complex surveillance findings to both technical and non-technical stakeholders

We are looking for a collaborative team member who values connection and actively contributes to our workplace culture by participating in team-building events and firm-wide sessions Proven ability to leverage AI tools to enhance productivity, optimise workflows to solve business problems, while applying critical judgment to ensure responsible and ethical use of data and AI outputs.

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.html 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.

Experience Level

Executive Level