Regulatory Control Analyst - Associate

Deutsche Bank · Mumbai Nirlon Knowledge Pk B1 · Posted 1 month ago

About this role

Job Description: Job Title - Regulatory Control Analyst - Associate Location - Mumbai, India Role Description As a Regulatory Control Analyst supporting the Business Supervisory Office (BSO), you will assist the BSO in ensuring the US Private Banking Business is compliant with local rules and regulations in transacting business for its clients. The Regulatory Control Analyst will also assist in ensuring that all business transacted for the clients are in their best interest (i.e. compliance with the Regulation Best Interest) and in line with their Suitability and risk profiles. This will require the analyst to review and provide disposition for daily trade alerts generated via the Surveillance systems implemented. Further, the analyst will also be required to analyze trade related data and identify any market manipulation themes such market manipulation, front running, insider trading, pump and dump etc. which in turn would need to be escalated to relevant onshore stakeholders (i.e. in compliance with applicable Market Abuse Regulations). In addition to Trade Surveillance related activities, the analyst will also be required to assist the onshore stakeholders with Transaction Monitoring i.e. reviewing all domestic/cross-border wire transfers executed by the client with the sole objective of ensuring all such activity is in sync with the anticipated activity for the account and there is no suspicion of money laundering. The analyst would be required to identify and explore any