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DWS Group & GmbH Co KgaA

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4.0

based on 17 Reviews

346 DWS Group & GmbH Co KgaA Jobs

Regulatory Operations Analyst, AS

DWS Group

4.0

based on 17 Reviews

0-1 years

Jaipur

1 vacancy

Regulatory Operations Analyst, AS

DWS Group & GmbH Co KgaA

posted 1mon ago

Job Role Insights

Flexible timing

Key skills for the job

Private Banking Excel Investigations Compliance Swift Payments Training and Development

Job Description

The Level 1 Reviewer are primarily responsible for the appropriate review, confirmation and decision-taking on stopped messages to confirm mismatches for release from the transaction filtering process (first level review) in line with applicable Sanction regulations and the Bank s policies and procedures.

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 child care assistance benefit (gender neutral)
Flexible working arrangements
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

Responsibilities includes

Support the Level 1 team lead in protecting DB from legal, regulatory and reputational risk with regard to business involving sanctioned entities and / or countries.
Ensure diligent review and confirmation of transactions that require escalation to a Level 2 investigator and decide on these in full compliance with the applicable Sanctions regulations and the bank s policies and procedures.
Execute internal control checks as defined in the KOP documentation and Embargo control framework documents governed by AFC Embargo.
Support any applicable reporting obligations to the competent authorities with respect to transaction handling.
Convert timely the update of the relevant embargo lists in respective filtering systems - implement the data to central and decentralized tools in GT and Operations.
Support CoC Regulatory Filtering team on the adoption of new clients.

RTB focus

Primarily review stopped messages and take a decision on them (either pass or investigate), based on limited set of rules provided and maintained by AFC.
Record rationale for decision from pre-defined set of options.
Seek feedback from more senior investigators/reviewers, where their decisions fail the four-eye control.
Provide support feedback loop and filter optimization by identifying repeat mismatches to propose e. g. Good Guys.
Use user access privileges only for authorised purposes; actively safeguard sensitive and confidential information.

Training & Development