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CAO, Compliance - Position Reporting Group, Associate

Deutsche Bank
Hong Kong
Posted 13 days ago Permanent NA
V
Posted by
Vijayadurga Poreddy
Recruiter
Regulatory Control Support is responsible for supporting the establishment and maintenance of control frameworks designed to manage regulatory monitoring, surveillance, employee compliance, transaction monitoring, and client screening. The Regulatory Control Support role works under the direction of Regulatory Control Advisors and/or Senior Regulatory Control Advisors supporting the maintenance of relationships with other relevant areas of the internal function to accomplish their assigned tasks. Regulatory Control Support may interact with the front office, where required as part of their process and as directed by a Regulatory Control Advisor and/or Senior Regulatory Control Advisor.

Job Description

TO BE UPDATED BY HIRING MANAGER

Additional Job Description

Details of the Division and Team:

Position Reporting Group (PRG) is responsible for the capture of regulatory and legislative rules governing shareholder monitoring and disclosures to regulators, stock exchanges and issuers globally and management of the daily reporting activities.  Disclosure of substantial shareholdings or interests is a regulatory requirement in most jurisdictions where Deutsche Bank AG (DB) operates in.  In addition, most jurisdictions also have a statutory ownership regime and PRG has responsibility to monitor and ensure compliance that such thresholds are not breached.

PRG daily monitoring activities includes but not limited to, Large Shareholding, Short Position Reporting, Takeover panel, foreign ownership, sensitive industries etc. The team is responsible for providing advisory to business on regulatory requirements surrounding shareholding disclosure covering APAC jurisdictions. Additionally, provide appropriate response to position check requests from business and process issuer requests.

Your key responsibilities:

  • Responsible, as part of a team, for daily group-wide monitoring and disclosure across jurisdictions in APAC to identify substantial positions in relevant securities against reportable thresholds or regulatory position limits such as short positions, foreign ownership, sensitive sectors and takeovers, etc.
  • Work on BAU matters covering substantial and short position reporting, regulatory limit monitoring, takeover dealings disclosure, trading restriction, trade clearance, etc.
  • Work as part of a team to review and identify gaps and potential issues, work with internal partners to come up with solutions to ensure robust controls over existing processes
  • Assist line manager on ongoing project work for APAC in respect of various regional and global initiatives, e.g. responding to regulatory changes, system build, data completeness and analysis, ongoing enhancements etc.

Your skills and experience:

Essential Skills & Competencies:

  • Sound understanding of position reporting function.
  • Understanding of shareholding and takeover rules and disclosure obligations.
  • Experience with systems build and project management – desired
  • Good analytical, workflow and data analysis skills.
  • Be a self-starter and work independently
  • Good communication and interpersonal skills with attention to detail.
  • Sound understanding of the financial markets, ideally with equities and derivatives knowledge, trade lifecycle is an advantage.
  • Able to work on multiple projects.

Language / Technical Skills:

  • English essential. Cantonese/Mandarin good to have. Good level of MS Office and Project management skills desirable are also desirable.
  • Good understanding of regulatory environment

 

Job ID  R0221466
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