Deutsche Bank Group
Financial Services
Regulatory&ClientClassificationsAnalyst,NCT
Neural analysis suggests this role is
optimal for Mid candidates.
“Regulatory & Client Classifications Analyst, NCT at Deutsche Bank Group. Skills: Regulatory compliance, Client classification, US regulations, Dodd-Frank, FINRA. Understanding and monitoring various US Regulations. Tactical and strategic analysis and remediation of Regulatory accounts impacting clients eligible for specific US Regulations”
What You'll Achieve.
Remediation of Regulatory accounts impacting clients eligible for specific US Regulations; Resolution of exceptions
Industry & Context.
Ability to identify issues and assess root causes and provide solutions; Analytical, problem solving and resource planning skills; Ability to think not only in black and white but also be able to think analytically in grey areas by utilizing resources at hand
What They're Looking For.
Must Have
Over 2-3 years of direct experience in regulatory compliance, client classification, KYC/onboarding, or a related function within an investment bank, financial institution, or a large corporate environment with exposure to financial regulations., Ability to identify issues and assess root causes and provide solutions with a proven level of analytical, problem solving and resource planning skills, Ability to work in a non-structured environment, knowing what task the next priority is without being told., Motivated and self-starter is a must, Ability to think not only in black and white but also be able to think analytically in grey areas by utilizing resources at hand (i. e. , Key Operating Procedures, reading through regulations etc. )
Nice to Have
Knowledge of Client Onboarding and Regulators is a plus, Knowledge and/or experience in a financial institution. Understanding of the workings of an investment bank and the lifecycle of a trade is a plus., Knowledge of MS suite of products, including the ability to use basic Excel functions such as pivot tables, VLOOKUPs, etc., Competent business user of MS products and Outlook. Internet liberate to enable online searches. Must know MS Excel., Knowledge of Markit ISDA Amend is a plus, Knowledge of Reference Data Systems and Regulations along with product and end-to-end system knowledge is a plus
What You'll Do.
Understanding and monitoring various US Regulations
Tactical and strategic analysis and remediation of Regulatory accounts impacting clients eligible for specific US Regulations
Daily monitoring and control reporting for various US Regulations
Management of daily control reports which includes working with offshore teams to investigate and analyse the exceptions
identify remediation steps
and follow up with internal or external stakeholders until exceptions are resolved.
Creating and/or updating Key Operating Procedures and incorporating new regulatory changes as needed
Training of COB team members for any new regulatory changes
How You'll Work.
Team & Collaboration
Works in close partnership with various stakeholders such as Compliance, Legal and the Client Lifecycle Management (CLM) on-boarding teams.; Work with Compliance and Legal on exception and/or escalations cases and see them through to completion.; Act as a point of contact for internal stakeholders (Front Office, KYC, Operations) for routine queries related to client classification rules and requirements.; Work with Client Onboarding (COB) team members when exceptions are identified to see through resolution
Communication Scope
Provide clear and practical guidance on regulatory nuances and documentation needs for classification
Process & Methodology
Resource planning
Full Job Description
## _**Job Description:**_ **Job Title:****Regulatory & Client Classifications Analyst, NCT** **Location: Bangalore, India** **Role Description** * As part of the Regulatory & Client Classification within Regulatory & Cross Product Ops (RCP) team, you will be responsible for understanding and monitoring various US Regulations as well as tactical and strategic analysis and remediation of Regulatory accounts impacting clients eligible for specific US Regulations. * You’ll support and contribute to daily monitoring and control reporting for various US Regulations along with being part of a team that works in close partnership with various stakeholders such as Compliance, Legal and the Client Lifecycle Management (CLM) on-boarding teams. **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** * Fully understand and be able to provide knowledge of US regulations, such as, CFTC Dodd Frank, SEC Swap Based Securities Dodd Frank, Volcker, Reg W, FINRA 2111, FINRA 4210, Reg D/QIBs, Foreign Bank Certificates, 15a6 and Reg O Business Management etc. * Work with Compliance and Legal on exception and/or escalations cases and see them through to completion. * Management of daily control reports which includes working with offshore teams to investigate and analyse the exceptions, identify remediation steps, and follow up with internal or external stakeholders until exceptions are resolved. * Act as a point of contact for internal stakeholders (Front Office, KYC, Operations) for routine
Applying for this Regulatory & Client Classifications Analyst, NCT role?
Most applicants get filtered before a human reads their resume. See if yours makes the cut.
How to Apply on Workday
- Workday has a multi-step form — save your progress after every section.
- "Apply With LinkedIn" can fail or lose data; manual entry is more reliable.
- Watch for the "Submit for Review" final step — hitting "Save" alone does not submit.
- Job requisition numbers are useful when following up with HR by email.
ANONYMOUS · UNFILTERED
What do employees actually say about Deutsche Bank Group?
Real rants from real employees. Read before you apply.