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Tarun Roy is looking for a Banking & Coop job in Nicosia, Cyprus.
Candidate Info
Name
Tarun Roy
Gender
Male
Marital Status:
Single
Children:
No children
Country Of Origin:
INDIA
Last Updated:
04/03/2008
Residence / Contact Details
Address
Deutsche Bank AG,
Compliance Dept,.
DB House, Ground Floor,
Hazarimal Somani Marg,
Next to Sterling Theatre,
Fort , Bombay - 400 001. INDIA, Bombay, INDIA
Compliance Dept,.
DB House, Ground Floor,
Hazarimal Somani Marg,
Next to Sterling Theatre,
Fort , Bombay - 400 001. INDIA, Bombay, INDIA
Phones
Email
Professional Experience
Organisation Deutsche Bank
Department India Compliance
Designation Senior Analyst / Asst. Manager
Period Feb 2007 – Present
Job Role as Senior Analyst:
Private & Business Clients – PBC (Retail Banking) :
• Provide compliance approval for high risk industry retail clients after conducting necessary internet search & clearance from Deutsche Banks online data base - Preventive Crime Research
• Review & provide Compliance Approval for the inward & outward SWIFT remittances for high risk countries.
• To conduct periodic sample scrutiny of new accounts opened for retail banking clients & report on the deficiencies noted.
• Monitor & analyse the large cash transaction report from branches, seek clarification & advise branches to submit (if required) Suspicious Transaction Report – STR to the Financial Intelligence Unit - FIU
• Coordinate with DB India - IT and DB Asia Pacific AML Compliance for the implementation of SMARAGD system – the Finacle based Anti Money Laundering software of Deutsche Bank.
Global Markets :
• Monitor & review all new client adoption documents & KYC of Global Markets (for international and domestic clients), follow up for the pending documents for the adopted clients under exception.
• To conduct internet search for any negative information on the company and its promoters for the clients to be adopted.
• To seek clearance from Deutsche Banks online data base - Preventive Crime Research
Central Compliance :
• Monitor personal account dealing requests for all employees of Deutsche Bank & its subsidiaries
• Provide trade approval to the employees for their PA Dealing after scanning the banks restricted list & after obtaining clearance from the DB Asia Control Room in Hong Kong.
• Review / cross check employees contract notes, to ensure Compliance Approval has been sought for each trade.
• Dissemination of regulatory circulars & press releases to the relevant business / department
• Coordinate and following up on outstanding responses / compliances on regulatory enquiries & requests.
• To carry out compliance monitoring reviews, report on findings & follow up on action plans agreed with business
• Identify areas of risk and review relevant practices that need to be adhered to for assigned processes or functions
• Assisting in facilitation and coordination of RBI inspections.
• Monitor / track employees who have failed to complete the online mandatory Compliance / AML training programs.
• To prepare & compile monthly compliance reports for the regional management in Singapore & Frankfurt – Germany
Department India Compliance
Designation Senior Analyst / Asst. Manager
Period Feb 2007 – Present
Job Role as Senior Analyst:
Private & Business Clients – PBC (Retail Banking) :
• Provide compliance approval for high risk industry retail clients after conducting necessary internet search & clearance from Deutsche Banks online data base - Preventive Crime Research
• Review & provide Compliance Approval for the inward & outward SWIFT remittances for high risk countries.
• To conduct periodic sample scrutiny of new accounts opened for retail banking clients & report on the deficiencies noted.
• Monitor & analyse the large cash transaction report from branches, seek clarification & advise branches to submit (if required) Suspicious Transaction Report – STR to the Financial Intelligence Unit - FIU
• Coordinate with DB India - IT and DB Asia Pacific AML Compliance for the implementation of SMARAGD system – the Finacle based Anti Money Laundering software of Deutsche Bank.
Global Markets :
• Monitor & review all new client adoption documents & KYC of Global Markets (for international and domestic clients), follow up for the pending documents for the adopted clients under exception.
• To conduct internet search for any negative information on the company and its promoters for the clients to be adopted.
• To seek clearance from Deutsche Banks online data base - Preventive Crime Research
Central Compliance :
• Monitor personal account dealing requests for all employees of Deutsche Bank & its subsidiaries
• Provide trade approval to the employees for their PA Dealing after scanning the banks restricted list & after obtaining clearance from the DB Asia Control Room in Hong Kong.
• Review / cross check employees contract notes, to ensure Compliance Approval has been sought for each trade.
• Dissemination of regulatory circulars & press releases to the relevant business / department
• Coordinate and following up on outstanding responses / compliances on regulatory enquiries & requests.
• To carry out compliance monitoring reviews, report on findings & follow up on action plans agreed with business
• Identify areas of risk and review relevant practices that need to be adhered to for assigned processes or functions
• Assisting in facilitation and coordination of RBI inspections.
• Monitor / track employees who have failed to complete the online mandatory Compliance / AML training programs.
• To prepare & compile monthly compliance reports for the regional management in Singapore & Frankfurt – Germany
Qualifications
Bachelor of Commerce - B.Com , Bombay University , India
Languages
English
Education
Bachelor of Commerce - B.Com , Bombay University completed in April 1998
Advanced Certificate in PC Application – Network Centered Computing along with Quality Management Program from NIIT Computer Institute completed in March 1999
Also completed Basic Programming for SUN-JAVA from NIIT completed in February 2000
Perusing JAIIB course from the India Institute of Bankers. to be completing by December 2008
Advanced Certificate in PC Application – Network Centered Computing along with Quality Management Program from NIIT Computer Institute completed in March 1999
Also completed Basic Programming for SUN-JAVA from NIIT completed in February 2000
Perusing JAIIB course from the India Institute of Bankers. to be completing by December 2008
