Regulatory Control Analyst - Associate

This will require the analyst to review and provide disposition for daily trade alerts generated via the Surveillance systems implemented. Further, the analyst will also be required to analyze trade related data and identify any market manipulation themes such market manipulation, front running, insider trading, pump and dump etc. which in turn would need to be escalated to relevant onshore stakeholders (i.e.

in compliance with applicable Market Abuse Regulations).\nIn addition to Trade Surveillance related activities, the analyst will also be required to assist the onshore stakeholders with Transaction Monitoring i.e. reviewing all domestic/cross-border wire transfers executed by the client with the sole objective of ensuring all such activity is in sync with the anticipated activity for the account and there is no suspicion of money laundering.\nThe analyst would be required to identify and explore any scope for enhancing current processes in place thereby increasing efficiency in terms of process delivery. The analyst might be included to participate in internal reviews by Group Audit and Compliance Testing & Assurance (CT&A).\nWhat we’ll offer you\nAs part of our flexible scheme, here are just some of the benefits that you’ll enjoy\nBest in class leave policy\nGender neutral parental leaves\n100% reimbursement under childcare assistance benefit (gender neutral)\nSponsorship for Industry relevant certifications and education\nEmployee Assistance Program for you and your family members\nComprehensive Hospitalization Insurance for you and your dependents\nAccident and Term life Insurance\nComplementary Health screening for 35 yrs.

and above\n\nYour key responsibilities\nAssist in carrying out supervision of the US Private Banking Business to ensure compliance with applicable rules and regulations\nAssist in the surveillance of capital market trades i.e. analyze trade alerts to identify relevant Market Abuse themes such as front running, pump and dump, market manipulation etc.\nVerify the trades executed are in the best interest and in line with the suitability (i.e. risk profile) of the client\nMaintain knowledge of AML risks and applicable regulations from a US perspective\nAssist in reviewing customer transactions (Wires/ACHs) to identify potential money laundering indicators, promptly disposition alerts, and escalate cases that require further review in line with established escalation protocols\nAnalyze cross-border customer transactions (including transactions involving AFC rated EUHRTC countries) to evaluate consistency with the client’s expected activity and to identify transactions that may indicate potential money laundering.\nConduct a review of Client Activity Monitoring (CAM) alerts arising from transaction anomalies and closed by the front office, to validate the disposition rationale and assess consistency with the customer’s account profile, including the nature and purpose of the account\nTrack and review transactions associated with clients having a Russian nexus to ensure compliance with applicable restrictions and to identify and escalate any potentially suspicious transactions for further review.\nReview transactions executed based on non‑original client instructions (such as telephone, fax, or email) to ensure compliance with the High‑Risk Media Policy requirements.\nResearch entities and/or individuals using both public domain and database search services.\nAssist with the maintenance of existing Key Operating Procedures and the development of new Key Operating Procedures covering different processes/controls owned and executed by the BSO\nCoordinate with and support business divisions and/or infrastructure functions in executing their responsibilities in improving the quality of the data and any data quality remediation actions.\n\nYour skills and experience\n5 to 6 years of Regulatory and Brokerage Trade Surveillance experience, preferably for the Wealth Management business\nFunctional and conceptual knowledge of Market Manipulation themes such as Front Running, Pump and Dump, Insider Trading, Spoofing etc.\nExperience with PM1, SunGard/FIS Protegent Surveillance tool (equivalents like LZ Sentinel, Aladdin, Charles River, JPM Trac, etc.) and SunGard front-end systems such as NetX360 is a plus\nStrong understanding of Private Banking AML risks\nKnowledge of Financial Crime regulations\nExperience in the financial services industry and/or BSA/AML regulations with sound banking knowledge of product and service offerings\nAbility to co-ordinate with multiple stakeholders and manage projects/tasks on an end to end basis\n\nHow we’ll support you\nTraining and development to help you excel in your career\nCoaching and support from experts in your team\nA culture of continuous learning to aid progression\nA range of flexible benefits that you can tailor to suit your needs\n\nAbout us and our teams\nPlease visit our company website for further information:\nhttps://www.db.com/company/company.html\n\nWe 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.\nTogether we share and celebrate the successes of our people. Together we are Deutsche Bank Group.\nWe welcome applications from all people and promote a positive, fair and inclusive work environment.\n\n]]>