24/01 Krishnakumar Chawan
Recruitment Manager at Deutsche Bank

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Deutsche Bank - Assistant Vice President - Risk & Control Specialist - SOX - Divisional Control Regulatory Office (9-14 yrs)

Bangalore Job Code: 657665

Job Title: Risk and Control Specialist - DCRO SOx

Corporate Title: Assistant Vice President

Division: DCRO

Location: India


- The COO SOx Team is a function within the COO Divisional Control Regulatory Office (DCRO) that supports COO in the implementation of the SOx framework and provides independent assessment of COO key controls.

- The function works in collaboration with Operations and Technology, as well as their respective embedded risk teams, to fulfil SOx requirements and develop and implement strategic and sustainable framework enhancements. Interaction with Finance is also essential to align objectives and ensure appropriate escalation to the SOx Committee.

The role will be based in the Bangalore office and will require significant engagement with global stakeholders.

Key Responsibilities:

- Assessment of COO key controls

- Challenge Operations staff on design and operational effectiveness of their controls, leveraging risk data such as Audit Findings, Self-Identified Issues and Risk Events

- Identify potential control issues through targeted testing (including risk assessment, scoping, design of test approach and performance of testing)

- Assess issues to determine potential impact to Financial Reporting and when required facilitate discussions between Finance, Operations and Technology

- Implementation of SOx framework

- Assist Operations in the identification of key controls

- Work collaboratively with NFRM to achieve consistency across SOx and RCA control inventories

- Monitor remediation of known control issues

- Maintain connectivity with Finance to ensure 2-way communication of issues

Further Opportunities:

- Establish stronger linkage between Operations and Technology frameworks

- Assist with ongoing remediation to identify SOx relevant applications, EUMAs and vendors

- Deliver SOx training to Operations and Technology


- Experience of working in financial services industry with strong functional and product knowledge

- Internal or external Audit experience


- Inquisitive and probing approach to problem solving and strong analytical skills

- Ability to identify control deficiencies and/or gaps, maintaining objectivity and independence

- Strong verbal and written communication skills with experience of reporting to senior management

- Experience in handling projects independently and working to deadlines i.e. strong project management skills

- Flexibility and adaptability - ability to react positively to change and swiftly learn new concepts

- Strong team work skills

- Good working knowledge of Microsoft Excel and Powerpoint

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