DWS AFC & Compliance Professional

Deutsche Bank; Mumbai; On-site; INR 1,400,000 - 2,100,000; Full time

Job summary

Deutsche Bank in Mumbai seeks an AVP to join the AFC Compliance Data Analytics Monitoring team. The role focuses on assurance of controls, calibration of thresholds, and administration of data management topics critical to AFC processes.

You will work with IATO, Technology, CISO and SMEs to ensure information security alignment. You will lead reviews, assess control effectiveness, engage stakeholders, and drive remediation strategies while maintaining robust documentation and governance

Qualifications

• Experience in compliance, risk, audit or related oversight functions with demonstrable control assessment experience.
• Ability to evaluate risk, control design and supporting evidence with professional judgement.
• Ability to manage competing priorities, own complex topics and escalate risks promptly.
• Analytical mindset with curiosity to identify gaps and form informed perspectives.
• Strong written and verbal communication to present analysis clearly.
• Experience leading discussions and challenging inconsistent positions.

Responsibilities

• Own and lead calibration and effectiveness reviews across the full review lifecycle.
• Evaluate control effectiveness through assessment of risks, design and implementation.
• Define testing approaches, evidential requirements and maintain defensible records.
• Provide proactive resolutions and route forward with stakeholders as needed.
• Lead stakeholder engagement to ensure complete information and rationale.
• Develop evidence-based outcomes and remediation recommendations.
• Manage programme delivery, timelines, risks and governance reporting.
• Track remediation actions and validate effectiveness with evidence.
• Support data management and information security initiatives across topics.

Skills

Compliance experience

Risk & assurance

Control testing

Independent working

Problem solving

Communication skills

Education

Degree in compliance/risk

Professional qualification

Tools

Excel

Job description

Job Title

Job Title: DWS AFC Compliance Team (Data Analytics Monitoring)

Location

Mumbai, India

Corporate Title

AVP

Role Description

The AFC Compliance Data Analytics Monitoring team provides operational assurance and support to key control areas, including reviews of in-scope controls to ensure effectiveness, the calibration of configurable thresholds and parameters, and the maintenance of control effectiveness over time. It also covers the operational execution of Data Management topics for data deemed material to AFC Compliance processes (Material Data Scope). The team also supports Information Security topics for Compliance applications, working closely with application IATOs, Technology, CISO and application SMEs to ensure adherence to Information Security requirements.

Your key responsibilities

• Own and lead Compliance Calibration and Effectiveness control effectiveness reviews across the full review lifecycle, setting the review-specific strategy within the established programme operating framework; determining assurance objectives, evidential requirements, testing and validation approaches; and directing execution through to the delivery of defensible conclusions, proposed control-effectiveness ratings, recommendations where remediation is required, and final review outputs for formal management and stakeholder approval.
• Evaluate and determine control effectiveness through rigorous assessment of the relevant risks, control purpose, design, implementation and underlying rationale, applying professional judgement, purposeful enquiry, independent research and critical evaluation.
• Define and undertake proportionate control assessment, including determining the purpose, scope, evidential requirements and appropriate testing and analytical approaches; evaluating whether the evidence obtained is sufficient to support the conclusions reached; and maintaining a clear, complete and defensible record of the work performed and judgements reached.
• Apply a proactive and solutions-focused approach to resolving review matters, reducing complex topics to their essential components, developing reasoned positions and determining the appropriate route to resolution, progressing matters independently where possible without unnecessary delay, and involving appropriate stakeholders where focused input or decisions are required, with an assessment of the issue and a proposed route forward where possible.
• Lead review related stakeholder engagement, applying appropriate challenge to ensure that relevant information, evidence and rationale are complete and adequately supported.
• Develop robust, evidence-based review outcomes that clearly substantiate the conclusions and proposed control-effectiveness ratings and, where remediation is required, formulate proportionate recommendations that address the identified weaknesses and define the required outcomes.
• Actively manage Compliance Calibration and Effectiveness review and programme delivery, maintaining forward-looking plans; managing timelines, competing priorities, dependencies, risks, issues and decision requirements; identifying emerging delivery risks and implementing timely mitigation or recovery actions; providing transparent communication and escalation; and preparing clear and decision-relevant reporting for governance and senior-management review.
• Track programme recommendations and remediation activity and validate whether agreed actions have been implemented effectively and supported by appropriate evidence.
• Drive the continuous development and optimisation of the Compliance Calibration and Effectiveness programme, identifying and implementing opportunities to strengthen its design, execution and outcomes, and ensuring that the supporting methodology, documentation and guidance remain effective and fit for purpose.
• Support Data Management and Information Security initiatives, taking end-to-end ownership of assigned topics through to completion.

Your skills and experience

Essential Experience, Knowledge and Capabilities:

• Relevant professional experience in compliance, risk, audit or another related oversight or assurance function, with substantive demonstrable experience in the assessment, testing or oversight of controls or processes.
• Strong understanding of control frameworks and assurance principles, supported by the professional judgement required to evaluate risk, control and process design, implementation, supporting evidence and the adequacy of associated outcomes.
• Demonstrated ability to work with a high degree of independence, take ownership of complex topics and exercise sound judgement, supported by the professional maturity required to manage competing priorities and concurrent activities, maintain personal accountability, identify and elevate risks promptly, and recognise when input from relevant stakeholders is required.
• A thorough and inquisitive approach, with the intellectual curiosity to identify gaps in understanding, ask purposeful questions, undertake relevant research and proactively develop informed perspectives on unfamiliar or complex matters.
• Strong critical-thinking and problem-solving capability, including the ability to understand underlying positions and assertions, evaluate information objectively, distinguish genuine complexity from unnecessary complication, identify the essential issue, draw on relevant experience and available resources, involve the appropriate people and drive matters logically and promptly towards resolution.
• Strong interpersonal and communication skills, including the confidence and judgement to lead discussions, articulate complex matters clearly and challenge incomplete, unclear or unsupported positions constructively, together with strong written communication skills and the ability to present analysis, reasoning and conclusions clearly, precisely and in a manner appropriate to the intended audience.

Advantageous Experience, Knowledge and Qualifications:

• Financial-services experience and knowledge of trade surveillance, market-abuse or conduct risks, financial markets and financial instruments would be advantageous.
• Working knowledge of Excel or comparable data-analysis tools would be beneficial.
• A degree or relevant professional qualification in compliance, risk, audit, law, accounting, finance, business or a related discipline would be advantageous; relevant professional experience and demonstrated capability are of greater importance.

Disclaimer: This job posting has been aggregated from external source. Role details, content, and availability are subject to change. Applicants are advised to confirm the latest information directly on the company website before applying.