Investment Bank-Business Control Unit Officer- AVP  …

Deutsche Bank
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 31 Mar 20
Deutsche Bank
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 31 Mar 20
Investment Bank-Business Control Unit Officer- AVP
Position Overview


Corporate Finance Asia Pacific is looking for a control officer to support Front Office in managing legal, regulatory and other non-financial risk across the region. Corporate Finance is Deutsche Bank's corporate client facing business covering the bank's full corporate product suite, including M&A advisory, financing, risk management, and transaction banking. Due to the broad scope of activities in terms of both products and geography, Corporate Finance Asia Pacific operates under a complex set of legal and regulatory constraints that need to be managed within the business (as the first line of defence).

The Business Control Unit (BCU) is a front office function reporting to the Head of CF Business Management & Control with the primary objective to support the business and it's supervisors by creating a robust control framework as part of the first line of defence. The team's mandate is to identify non-financial risks i.e. regulatory, conduct and systemic risks, define mitigation processes for those risks, as well as to develop, implement and monitor Level 1 controls.

Key Responsibilities:
  • Advising Front Office in relation to legal, regulatory, reputational and other governance related matters
  • Identifying non-financial risks (regulatory, conduct and systemic) for Front Office and definition of control requirements thereof
  • Developing, implementing and monitoring level 1 controls
  • Ongoing monitoring and creation of management reporting and escalation process to business management
  • Analyzing impact of and ensuring implementation of new regulation
  • Overseeing implementation of the deal governance process
  • Functioning as liaison with internal control functions

The candidate will have:
  • Extensive industry experience, either from a top tier investment bank or law firm
  • Ideally business, finance or law degree from a top tier university
  • Understanding of financial advisory and capital markets transactions
  • Understanding of Asian financial regulation

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