Regulatory & Client Classifications, Associate
Job Title: Regulatory & Client Classifications, Associate
The Regulatory Client Classification team within Regulatory & Cross Product Ops (RCP) is responsible for ensuring the accurate implementation of regulatory requirements related to client classification and onboarding processes.
As part of the team, you will be responsible for understanding and monitoring various APAC/ EMEA/ US Regulations as well as tactical and strategic analysis and remediation of Regulatory accounts impacting clients eligible for specific Regulations. You'll support and contribute to daily monitoring and control reporting for various 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.

As part of our flexible scheme, here are just some of the benefits that you'll enjoy,

- Best in class leave policy.
- Employee Assistance Program for you and your family members
- Accident and Term life Insurance
- Fully understand and be able to provide knowledge of regulations, such as, CFTC, SEC , MiFID II, EMIR, 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 queries related to client classification rules and requirements.
Provide clear and practical guidance on regulatory nuances and documentation needs for classification
Responsible for creating and/or updating Key Operating Procedures and incorporating new regulatory changes as needed
Training of COB team members for any new regulatory changes
Be able to identify risk and escalate to management

Your skills and experience
Over 8 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 workplace with exposure to financial regulations.
Understanding of key financial regulations such as MiFID II, EMIR, Dodd-Frank, etc., Knowledge/exposure of US regulations like CFTC, SEC / Volker/ FINRA within an operational or control department within a banking environment, or within a similar operational regulatory function
Experience working with Compliance, Legal, Client Onboarding, KYC, and Operations teams.




Proven ability to manage regulatory exceptions, escalations, and control processes.
Strong analytical, risk management, and problem-solving skills.
Excellent stakeholder management, communication, and training capabilities.
Knowledge and/or experience in a financial institution. Skills That Will Help You Excel
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 Reference Data Systems and Regulations along with product and end-to-end system knowledge is a plus

It is the Bank's expectation that employees hired into this role will work in the Bangalore office in accordance with the Bank's hybrid working model.
Deutsche Bank provides reasonable accommodations to candidates and employees with a substantiated need based on disability and/or religion.

Proven ability to leverage AI tools to enhance productivity, optimise workflows to solve business problems, while applying critical judgment to ensure responsible and ethical use of data and AI outputs.

Training and development to help you excel in your career.
Coaching and support from experts in your team.
A range of flexible benefits that you can tailor to suit your needs.

Please visit our company website for further information:

We strive for a in which we are empowered to excel together every day. Together we are Deutsche Bank Group.

📌 Regulatory Affairs Specialist - Hybrid (Bengaluru)
🏢 Deutsche Bank
📍 Bengaluru