Job Title: Employee Compliance Officer

Location: Bangalore, India

Corporate Title: Vice President

Role Description

The successful candidate will be responsible for providing oversight to centralized services relating to all processes relating to EC Operations in DIPL. You will also be responsible for interacting with regional EC teams including senior management and managing escalation cases to provide a high quality of service and meet the expected service standards. You should have experience in Compliance Operations, managing a team of tenured staff members, be excellent in stakeholder management, make independent decisions, manage upward and downward communication and escalate relevant issues to senior management and regional stakeholders. Also, ability to help identify/deliver value / efficiencies through continuous process improvements and automation and implementation of globally consistent processes.

Team / division overview

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 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.

DIPL Employee Compliance (DIPL EC) Provides support on Personal Account Dealing, Employee Trade Surveillance, Global Attestations and Licensing & Registrations for the regions i.e (APAC, UKI, Americas, Germany and EMEA)

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

As an Employee Compliance Officer, you will:

• Be a subject matter expert in Employee Compliance activities.
• Lead the Personal Account Dealing (PAD), Employee Trade Surveillance and Global Attestation (GA) pillars in DIPL.
• Manage a team of around 25 tenured Employee Compliance Officers.
• Manage escalations and EC DIPL team regarding EC matters.
• Escalation point for breach and consequence management reviews / queries from stakeholder.
• Ensure escalated cases are followed up and documented and updated in a timely manner.
• Ensure the task queues are handled and closed in a timely manner to mitigate backlogs.
• Identify risk-based EC operating efficiencies.
• Review, investigate and escalate irregularities and abnormal activities.
• Provide general oversight on EC activities performed by the EC BAU processing team.
• Partner with other Compliance teams such as Country Compliance and Business Line Compliance in APAC on EC matters
• Provide support to and manage senior management queries.
• Work with global/regional teams to create MI Reports as and when required to senior management.
• Provide support on global and ad hoc EC initiatives.
• Remain aware of any regional regulatory developments which may impact the EC processes.
• Manage adhoc IT projects relating to Employee Compliance, perform UAT testing of related applications, implementation of new systems and interaction with the local IT.

Your skills and experience

• 12 to 15 years of Investment Banking experience in Compliance Operation processes.
• MBA or equivalent degree or PG in Commerce and Finance.
• Strong operations background in standard banking products, financial market products, stock exchanges and should be able to interpret policies.
• Skilled in verbal and written articulation/communication with the senior management comfortable in making presentations and exposure to handle audits.
• Strong analytical skills, attention to detail, service commitment and solid people management skills, manage communication upward and downward.
• Innovative approach to work and ability to continuously identify and implement process improvements and automate/create efficiencies.
• The ability to work under pressure and within tight deadlines with excellent quality.
• Action oriented with a strong focus on completing tasks while working independently and with minimum direction.
• Well versed in using MS office, PowerPoint, and Excel (Pivots, Vlookup, formulas and data analysis)

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.htm

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.