Regulatory Control Analyst - Surveillance

In Scope of Position based Promotions (INTERNAL only)

Job Title: Communication Surveillance, Compliance – NCT

Location: Mumbai, India

Role Description

Team Overview

In the APAC region, Surveillance team consists of teams of analysts and compliance officers located in Hong Kong, Singapore, Bangalore, Mumbai and Tokyo.  The Hong Kong team coverage includes Equities, Listed Derivatives, Fixed Income and FX products, in addition to Communication Surveillance.

The person in Hong Kong will represent the Surveillance functions with primary focus on surveillance monitoring and testing on E-Communications and Voice.

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

• Conduct Communication Surveillance (E-comms & Voice) for APAC.
• Respond to escalations/referrals from Lexicon reviews.
• Conduct deep dives and investigations on irregularities and abnormal activities.
• Conduct QA (Quality Assurance) of reviewed E-Communications alerts and ensure appropriate QA documentation.
• Preparation of periodic (Weekly/Monthly) MIS.
• Participate in Communication surveillance projects and UAT (user acceptance testing).
• Assist in the calibration of lexicons.
• Assist in internal queries and audit requests.
• Work on any ad hoc Communication tasks and requests.

Your skills and experience

Essential Skills & Competencies

• Strong attention to detail, analytical skills and sound judgement.
• Ability to assimilate large amounts of data and have the focus to identify potential issues.
• Be able to multitask and work on multiple projects.
• Understand various Business area risks.
• Compliance and Regulatory awareness.
• Knowledge of applicable securities rules advantageous.
• Team player with ability to work independently.
• Proactive and enthusiastic.

Work Experience

• Ideally experience in banking with Equities, Listed Derivatives, Fixed Income and FX products background.
• Experience in Surveillance and Compliance advantageous.

Education

• Degree level

Language Skills

• English – fluency in spoken and written.

Technical Skills

• Experience with using Surveillance tools.
• Proficiency in Data analytics and MS Office (esp. Advanced Excel + PowerPoint).
• Experience on preparing MI, managing large volume of data, and presenting the same to senior management.

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.