Wealth Management Compliance and Governance Analyst

Wealth Management – Compliance & Governance (Middle office) – Analyst

Job Title: Wealth Management – Compliance & Governance  (Middle office) – Analyst

Location: Mumbai, India

Corporate Title: Analyst

Role Description

• Drive end-to-end governance, quality assurance and reporting for KYC/Client Due Diligence (including NCA), regulatory name searches and periodic risk classification in Wealth Management.
• Ensure timely completion of statutory exercises (FATCA/CRS), accurate MIS, and strong control environment with proactive escalation of breaches.

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

• Own governance for KYC reviews and NCA, including query resolution for branches and ensuring adherence to KYC procedures.
• Coordinate AFC QA observations: draft/track responses, identify gaps, implement controls, and brief seniors on KYC breaches/possible breaches.
• Prepare, publish and maintain periodic MIS (weekly/fortnightly/monthly/half-yearly) including KYC trackers, supervisory tracker, new client list, lending document checks (DIIPL/DBAG), pending call reports, email authorizations, NRI call reports, client suitability and CRC tracking.
• Manage NCA approvals/deferrals (including serving as backup) and maintain audit-ready documentation.
• Prepare KYC overdue account blocking/freeze letters and memos; coordinate follow-through with branches/operations.
• Check/approve CAPRE for all WM branches and ensure timely closure of exceptions.
• Respond to name searches from AFC/Regulators/Regional teams; support quarterly regulatory submissions (e.g., RBI data) and monthly MI inputs.
• Review and publish findings from Vendor Oversight Report; track remediation actions with stakeholders.
• Ensure annual FATCA & CRS exercise completion for all WM clients; monitor progress and escalations.
• Validate and publish physical/e-statement return data.
• Support WM India performance management automation and other COO-led digitalisation initiatives that enable business growth.
• Implement and track half-yearly risk categorization and rollout of new CRRE versions; drive adoption across branches.
• Support revisions to Client Suitability/IRPQ process; ensure tracking, reminders and completeness.
• Implement bulk upload tooling for CRRE calculations for DBAG & DIIPL clients (requirements, testing, rollout and controls).

Your skills and experience

• Strong understanding of KYC/CDD, client risk categorization, FATCA/CRS and governance controls in financial services.
• Experience with regulatory reporting, name screening/search coordination and audit/QA responses.
• Advanced MIS and data handling skills (Excel/Sheets), tracking discipline and attention to detail.
• Process improvement mindset; ability to translate requirements into automation/digitalisation initiatives.
• Stakeholder management across branches and control functions; clear written and verbal communication.
• High ownership, integrity, and ability to manage deadlines in a control environment.

Key Deliverables / KPIs

• On-time completion of KYC reviews/NCA actions; reduction in KYC overdue accounts.
• Timely, accurate MIS publication with strong data quality checks and version control.
• Closure rate and turnaround time for AFC QA observations and KFin oversight findings.
• 100% completion and timely sign-offs for annual FATCA/CRS exercise.
• On-time completion of half-yearly risk categorization and CRRE rollouts with minimal exceptions.
• Effectiveness of automation initiatives delivered (adoption, error reduction, cycle-time improvements).

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.html

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.

Together we share and celebrate the successes of our people. Together we are Deutsche Bank Group.

We welcome applications from all people and promote a positive, fair and inclusive work environment.