Regulatory Filtering Analyst
- Deutsche Bank
- 0 - 5 years
- Jaipur
- 4 days ago
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Job Description
Role Description
Regulatory Operations is responsible for defining and implementing procedures which provide regulatory operations services for various divisions of the bank and its group entities. This is to support the bank in its efforts to ensure regulatory compliance.
Work includes:
- Partnering with the banks regulatory team to translate regulation into operational processes/procedures assisted
- Developing the banks information technology infrastructure
- Developing and implementing regulatory strategies, procedures and controls for new products and/or business activities that require governmental approvals
- Preparing and submitting regulatory applications such as permits, licenses, certificates and authorization required by governmental agencies
- Coordinating government interactions and compliance activities; and interacts with regulatory agencies
What well offer you
As part of our flexible scheme, here are just some of the benefits that youll 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
- Support the RTB 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 banks policies and procedures.
- Execute internal control checks as defined in the KOP documentation and Embargo control framework documents governed by AFC Sanction & 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
Your Key Accountabilities
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 Good Guys.
- Use user access privileges only for authorised purposes; actively safeguard sensitive and confidential information.
CTB focus
- Supports TSMO / AFC related change projects
- Supports remediation actions owned by TSMO / AFC
Training & Development
- Participate Trainings such as on HotScan, Sanctions policies, L1 procedures, specific payment types, including structure / form of messages.
Your skills and experience
- Sanctions and Regulatory Filtering
- SWIFT Message Format and Fields
- SWIFT Payment Flow
- SEPA Message Structure and Payment Flow
- MS Office (MS Excel, Word and Outlook)
- Proficient in e mail communication
- Good communication skills (Written & Verbal)
- Ability to support rotational shifts
- Ready to support on weekends
How well 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
Job Classification
Industry: Investment Banking / Venture Capital / Private EquityFunctional Area / Department: BFSI, Investments & TradingRole Category: Banking OperationsRole: Banking Operations - OtherEmployement Type: Full timeContact Details:
Company: Deutsche BankLocation(s): Jaipur
Keyskills: Sanction Screening Swift Payments Transaction Screening Aml SAR Swift Messaging Pep Sanction Ofac
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