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DWS Group & GmbH Co KgaA

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3.9

based on 18 Reviews

285 DWS Group & GmbH Co KgaA Jobs

Auditor - IB EMEA & APAC, IB Ops, IB/CB KYC - AVP

DWS Group

3.9

based on 18 Reviews

13-15 years

Bangalore / Bengaluru

1 vacancy

Auditor - IB EMEA & APAC, IB Ops, IB/CB KYC - AVP

DWS Group & GmbH Co KgaA

posted 21d ago

Job Role Insights

Flexible timing

Key skills for the job

Investment Banking Operations Front Office CCTV Monitoring Fixed Income Risk Assessment

+ 1 more

Job Description

Job Description

In Scope of Position based Promotions (INTERNAL only)

Job Title Auditor - IB EMEA APAC, IB Ops, IB/CB KYC - AVP

Location Bangalore, India

Role Description

Divisional Description - Group Audit

The Group Audit (GA) function is a professional, business focused, proactive risk-based global audit team that operates with transparency, integrity and independence, and assists the Bank s business and infrastructure areas to identify key control weaknesses. Focused on identifying potential risk exposure, the function offers vital insights into the adequacy of the design and the operating effectiveness of systems of internal control. A global function operating from four hub locations (London, New York, Frankfurt and Singapore) and 30 other locations globally, Group Audit is increasingly relied upon by banking regulators to provide independent, consistent and objective assurance.
As an AVP in the IB EMEA APAC, IB Ops, IB/CB KYC Operations team you will work with management and staff within Group Audit based in United Kingdom, India United States to deliver audits performed regionally and globally. You will become an integral member of a diverse high-performance team, providing Subject Matter Expert support, primarily on the KYC topic for other audit teams on operational controls as part of the holistic front to back audit review process. This means you will also work closely with other audit teams, for example Technology, to provide integrated audit coverage. The wider Investment Banking (IB) audit team covers Fixed Income, Origination and Advisory, Sales and Structuring in APAC and EMEA. The IB teams reviews front office activities as well as second line functions in Risk, Operations, Finance, Compliance and Legal.
This role reports into the PAM based in the London office responsible for the IB/CB KYC Operations portfolio. They in turn report to the Global Chief Auditor (CA) for IB EMEA APAC, IB Ops, IB/CB KYC Operations, further reporting into Head of Audit (HOA) who has direct reporting into Global Head of Group Audit (GHGA).

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

Evaluate the adequacy and effectiveness of internal controls relating to CDO managed audits in accordance with Group Audit methodology and the established risk assessment framework.
Document process flows, identify risks, assess controls and perform audit testing within the audit application; track and validate closure of internal audit issues and regulatory observations within the application.
Complete all work assignments on a timely basis, including activity assigned on planned audits, ad hoc projects and special investigations.
Contribute to the continuous monitoring and SME framework of the GA CDO environment, periodic update of auditable area risk assessments and contribute to the annual audit planning process as required.
Work on ad hoc projects including methodology enhancements and regulatory inquiries. Further work on an integrated basis with fellow team members both locally and globally.
Develop and maintain professional working relationships with colleagues, the business and other Infrastructure support areas as well as work in an integrated manner with fellow team members both locally and globally.
Develop and maintain broad regulatory knowledge and experience. Stay abreast of developments within the bank and its strategy, business/industry changes and their effect on the team s audit plan, audit methodology and risk assessments.

Your skills and experience

Preferably educated to degree level with relevant work experience, ideally in an internal or external audit role. Bank or finance experience is preferred, but experience from other industry sectors considered, in particular where a nexus to operations type process and controls can be demonstrated. An overall experience of 5+ years is required, ideally coupled with a professional certification (e.g., ACA, CPA, CIA, CFE, ACAMS etc.).
Good knowledge of key banking products and/or operations lifecycle (e.g. KYC, Reference Data services) is beneficial.
The ability to multi-task assignments and prioritise workloads with minimal supervision.
Excellent communication skills and fluent in English, both written and verbal with the ability to communicate effectively at all levels.
An ability and willingness to work in a high-pressure environment and deliver under tight deadlines and defined budgets to agreed targets.
A firm commitment to maintaining the highest professional and ethical standards, driving integrated working practices.
Innovative mindset and ability to develop ideas which can be implemented with a positive impact for the Bank, G or the CDO team overall.
The ability to challenge and be challenged whilst maintaining the highest levels of professionalism.

How we ll support you