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Regulatory Control Analyst - AVP

DWS Group

6-7 years

Bangalore / Bengaluru

1 vacancy

DWS Investment

posted 4mon ago

Key skills for the job

+ 3 more

Review and approve client escalations for Remediation, Regular Review, New Product Extensions and Event Driven Reviews within the agreed SLAs
Ensure the generated client risk rating is in line with expectations & procedures.
Assess the risk factors identified through the due diligence provided by client lifecycle management (CLM)
Apply subject matter expertise judgment as to relevance and/or materiality of Escalation triggers; i.e., can the overall assessment be defended
Engage with appropriate BLAFC specialist team where further escalation is required e.g., local BLAFC, AFBC, Sanctions, BIU etc..
Liaise with CLM to obtain additional information or request ACO to conduct additional research where required
Ensure outcome and rational is clearly documented within the KYC systems and / or escalated for further guidance
Ensure that KYC reviews undertaken are in line with the KOPs guidelines and processes
Contributing to the wider global KYC Centre of Excellence programme, identifying best practices
Deciding on new or existing clients that are escalated or deciding to escalate further to Governance Forums for review.
Defining and implementing strategic TOM in-line with local/regional/global standards and change programmes.
In long run be the deputy to your lead and help new team members in coming up the learning curve.
Work with country lead to ensure the daily/weekly reporting is precise and where possible streamline the data by providing suggestions.

Your skills and experience

Skills:

Ability to identify and manage financial crime risks arising from regular reviews, event driven reviews, new client adoptions and new product extensions
Strong communication, organizational, and interpersonal skills with the confidence to engage and advise professionally and persuasively with stakeholders.
Proven analytical skills, problem solving ability, and a control mindset paired with meticulous attention to detail.
Able to raise sensitive or potentially contentious issues in a constructive manner to reach appropriate solutions.
Deadline driven with the ability to multi-task and work in a fast-paced environment.
Ability to handle time-sensitive projects while focusing on the quality of work delivered.
Self-motivated and proactive team player who takes ownership of assignments, thrives in a teamwork-oriented environment, and works well under pressure.
Ability to work with various stakeholders across all 1LoD and 2Lod and manage expectations, without impacting the quality output.

Experience:

Must be a graduate with any stream with at least 6-7 years experience in AFC or a related control related function within an international organization/bank in the Financial Services industry with extensive experience with the KYC process.
People having a degree or diploma in AML/KYC will be preferred.
A strong track record in risk and regulatory matters, ideally including:
Good understanding of AFC risks and typologies in order to identify areas or instances of potential AFC risks and to address them appropriately.
Experience of relevant regulations/laws and related circulars
Financial Crime function expertise and should be considered a Subject Matter Expert (SME) in the Financial Crime area on relevant laws and regulations.
Should be flexible with respect to work timings.
Should be comfortable in working on MS Office tools using word and excel.

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