Employee Compliance, NCT

Deutsche Bank; Bengaluru; On-site; INR 1,200,000 - 2,400,000; Full time

Benefits offered by this job

Best in class leave policy

Gender neutral parental leaves

100% reimbursement under childcare

Sponsorship for industry certs & ed

Employee Assistance Program

Healthcare coverage for dependents

Accident & Term life Insurance

Health screening for 35+

Job summary

Deutsche Bank in Bangalore, India, seeks an Employee Compliance, NCT to protect the bank’s integrity and ensure robust control frameworks across APAC, Americas and EMEA regions. The role focuses on reviewing, approving and monitoring employee activities in Personal Account dealing, Outside Business Interests and Private Investments, while collaborating with country compliance officers and tech teams.

A strong background in commerce/finance and 4+ years in investment banking operations are

Qualifications

• Bachelor’s or Master’s degree in Commerce and Finance
• Minimum 4 years’ experience in Investment Banking Operations
• Exposure to Compliance Operations is a plus
• Detail oriented with strong written and verbal communication
• Knowledge of financial products including stocks and bonds

Responsibilities

• Review, approve and monitor employee activity within Personal Account dealing, Outside Business Interests, Private Investments, Employee Trade Surveillance and Consequence Management.
• Liaise with Country Compliance Officers, business, Operations or Technology to develop, review, test and enhance procedures.
• Man age multiple requests, ensuring timely and orderly handling of tasks.
• Prepare MI and track KPIs and status updates for senior management.
• Handle BAU processes, escalations, stakeholder management and global projects.

Skills

Investment Banking Ops

Compliance Operations

Stakeholder Management

Financial Products Knowledge

Advanced Excel

PowerPoint

Communication Skills

Data Analysis

AI Tools Usage

Education

Bachelor’s or Masters in Commerce and Finance

Tools

MS Excel

PowerPoint

Job description

Job Description:

In Scope of Position based Promotions

Job Title: Employee Compliance, NCT

Location: Bangalore, India

Corporate Title: NCT

Role Description

• The Employee Compliance Department protects the Bank by advising on ethical conduct, identifying regulatory solutions, safeguarding integrity and reputation, and promoting, in partnership with the business, a culture of Compliance. 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.
• As a team member of Employee Compliance in Central Compliance, primary focus will be to review, approve and monitor employee activity within the Personal Account dealing Trading, Outside Business Interests, Private Investments, Employee Trade Surveillance and Consequence Management for APAC, Americas and EMEA region.

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

• Hands on experience in various processes of Employee Compliance - Personal Account dealing Trading, Outside Business Interests, Private Investments, Employee Trade Surveillance and Consequence Management.
• Liaise with Country Compliance Officers, business, Operations or Technology in the development, review, testing and/or enhancement of procedures
• Ability to multi task, the prospective candidate will be dealing with multiple requests. It is critical that requests are managed in an orderly and timely manner
• Preparing MI and Tracking KPIs and Status updates for senior management.
• Handling the BAU of the process along with the process escalations, Stakeholder management, Global projects.

Your skills and experience

• Bachelor’s or Masters in Commerce and Finance.
• The candidate should have minimum 4 years prior experience in Investment Banking Operations. Having an exposure to Compliance Operations or performing Compliance related roles is a plus.
• Must be detail oriented, Strong communicator with excellent verbal and written communication skills
• Exposure to communicating with global stakeholders
• Knowledge/experience with array of financial products (including stocks, bonds, equity/credit derivatives)
• Advanced MS Excel and PowerPoint skills (pivot tables, experience with large data sets, proficient in data manipulation and presentation)
• Team player with great attitude and work ethic, ability to multi-task on several different assignments/projects, works well under pressure and meet deadlines
• Strong attention to detail, coupled with strong problem solving skills

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.