Compliance - Control Room - Vice President Compliance - Control Room - Vice President …

Deutsche Bank
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Be the first to apply
Deutsche Bank
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Be the first to apply
Compliance - Control Room - Vice President
Position Overview

  • Maintain and monitor Control Room Restricted, Watch and Research Control Lists, ensure records are complete & accurate at all times.
  • Manage the Bank's Information Barriers control, including executing wall-crossing requests. Advise the business on information barrier and any other issues that may arise in reference to the flow of information.
  • Maintain the Information Barrier Designations that are designed to reflect an employee's access to Inside Information and are managed within the Information Barrier System.
  • Responsible for clearing day to day Equity and Fixed Income research to avoid conflicts against the various CR lists. Identify perceived and real conflicts and work with internal/external counsel and/or management to resolve them.
  • Provide compliance advice to the business relating to research and trading restrictions.
  • Review pre-deal research and provide guidance on analyst's pre-deal investor education meeting.
  • Support the development of the Global Control Room enhancement or other ad-hoc project, participate in the working group discussion.
  • Develop and implement the relevant Control Room policies and procedures.
  • Handle and ensure the recording of breaches arising related to CR processes, and escalate as appropriate.
  • Coordinate with other Regional Control Rooms to ensure that policies and procedures followed by the APAC CR are consistent with those followed globally to the extent permissible by local regulations and market practice.
  • Keep up to date with developments in applicable laws, rules and standards.
  • Assess and advise on the implications, and implementation, of new circulars, guidelines, consultation papers, rules, enforcement cases and regulations issued by regional regulators.
  • Provide Restricted List and Information Barriers training to the relevant Business and Infrastructure divisions.
  • Provide supervision and guidance to the team members.

  • Graduate level with at least 8-10 years in compliance or equivalent experience relating to the business line or Monitoring & Surveillance experience
  • Strong financial markets and product knowledge
  • Good interpersonal, communication and presentation skills
  • Self-motivated, proactive, ambitious, proven ability to learn
  • Knowledge of banking and securities rules and regulations to the key jurisdictions with business operations in APAC.
  • Good understanding of the requirements of the maintenance of Insider List under Market Abuse Regulation.
  • Good leadership qualities
  • Attention to detail, efficient and strong administration / organisational skills.
  • A strong sense of teamwork and be ready to take up challenging responsibilities.
  • Ability to prioritize, work under pressure and meet tight deadlines

Our values define the working environment we strive to create - diverse, supportive and welcoming of different views. We embrace a culture reflecting a variety of perspectives, insights and backgrounds to drive innovation. We build talented and diverse teams to drive business results and encourage our people to develop to their full potential. Talk to us about flexible work arrangements and other initiatives we offer.
We promote good working relationships and encourage high standards of conduct and work performance. We welcome applications from talented people from all cultures, countries, races, genders, sexual orientations, disabilities, beliefs and generations and are committed to providing a working environment free from harassment, discrimination and retaliation.

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