Compliance - Markets Business Line Compliance - FIC - Director \/ Vice President Compliance - Markets Business Line Compliance -  …

Deutsche Bank APAC
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 11 Jun 19
Deutsche Bank APAC
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 11 Jun 19
Compliance - Markets Business Line Compliance - FIC - Director \/ Vice President

Regulation, Compliance & Anti-Financial Crime

Regulation, Compliance and Anti-Financial Crime (AFC) protects the integrity and reputation of Deutsche Bank. It manages the Bank's risks and help to avert unintentional rule breaches and conflicts of interest. At the same time, we also advise the bank on ethical conduct and governance issues and keep the bank up to date on regulatory and political challenges.

Position Overview


The key functions of this role are to provide support to the Global Markets Compliance team by (i) providing professional, timely advice and guidance to the business (ii) ensuring adherence to Bank policies and procedures, and relevant legal/regulatory frameworks; (iii) reviewing, monitoring existing controls and performing risk assessments, and iii) preparing reports/reviews for business, Compliance management and the regulators.

Key Responsibilities:
  • Reporting to Head of GM Compliance in HK, candidate will be Compliance lead for HK FIC, Global Credit Trading, Institutional and Corporate Treasury business located in HK.
  • Provide compliance and regulatory advisory for the GM businesses in Hong Kong and associated support functions, including advice on existing and new Hong Kong rules & regulations.
  • Evaluate compliance with relevant regulations, issue identification, assessing the impact of regulatory change and working with business to build and maintain control mechanisms to remain in compliance with laws and regulations and to protect the reputation and franchise of the bank.
  • Sign off new business initiatives, new product and new transaction approvals and processes from a regulatory perspective.
  • Provide training on key regulatory or internal policies to relevant business and support staffs.
  • Participate in industry groups relevant to GM business topics/issues.
  • Provide support to the Business on cross border transaction and businesses. This will require good interpersonal skills to deal with Compliance officers through Asia and the Business located in Hong Kong, including developing a strong working knowledge of jurisdictions through Asia.
  • Work with the relevant Business Management to assist in the implementation of agreed remedial actions.
  • Assist in regulatory enquiries, investigations and management of regulatory inspections as they each relate to the GM businesses.
  • Lead or be involved in regional and global initiatives and projects as required.

Key Requirements:
  • Relevant knowledge of Debt / Fixed Income products
  • Relevant markets compliance advisory experience
  • Strong knowledge of regulatory requirements across APAC
  • Good communication and interpersonal skills, able to interact with both senior and junior stakeholders and team members

Deutsche Bank offers a challenging and rewarding career where your contribution is valued and rewarded. We have an inclusive and friendly working environment coupled with excellent facilities and benefits.

Deutsche Bank is an equal opportunity employer who seeks to recruit and appoint the best available person for a job regardless of marital status, sex (including pregnancy), age, religion, belief, race, nationality and ethnic or national origin, colour, sexual orientation or disability.

Deutsche Bank does not accept unsolicited curriculum vitae from third party vendors.