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

Own governance for KYC reviews and NCA, 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).