Investment Bank-Business Control Unit Officer- AVP
Position Overview 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:
The candidate will have:
- 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
- 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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