Compliance Control Room Officer
- London, England, United Kingdom
- Permanent, Full time
- Deutsche Bank
- 08 Feb 18 2018-02-08
You will be helping to prevent and detect the misuse of unpublished price sensitive information through the administration and monitoring of the bank's Chinese wall procedures.
Job title: Compliance Control Room Officer
Corporate title: Vice President
Location: Regulation, Compliance and Anti Financial Crime
Hiring Manager: Patrick Meighan Overview:
You will be helping to prevent and detect the misuse of unpublished price sensitive information through the administration and monitoring of the bank's Chinese wall procedures. Ensuring compliance with specific securities laws and/or bank policy relating to trading and research restrictions through administration and publication of the bank's Restricted List and associated securities monitoring. You will be helping detect, escalate and manage potential conflicts of interest between different divisions of the bank through administration of the intra-divisional conflict clearing process and the clearing of the bank's research product. You will also provide advice to the business, Legal and Compliance on the above issues.
- Leading the Control Room team in supporting the bank in Europe, the Middle East and Africa (EMEA) and Germany
- Supervising Control Room activities for staff in the London and Birmingham offices and providing strategic direction of all aspects of that Control Room
- Managing and mentoring of staff, including promoting diversity, mobility, succession planning and high-performing employee development
- Provision of highly specialised advice and interpretation of legal, regulatory and compliance risk and surveillance requirements as they relate to information barriers, watch lists, restricted lists, wall crossings, conflicts of interest, trading, research clearance and vetting requests and related issues
- Supervising the maintenance of the Watch and Restricted Lists
- Assisting with regulatory inquiries and interacting with regulators in relation to investigations related to information barriers/insider trading as well as assisting in the maintenance of internal policies and procedures
- Building and maintaining relationships with relevant Compliance Advisory, Front Office Business, and other control function staff
- Building and maintaining relationships with regulatory authorities where required
- Managing, or assisting in, the timely resolution of exchange, regulatory or internal investigations and enquiries
- Reviewing and analysing of the relevant regulatory notices, rule changes and industry best practices
Skills and Qualifications:
- The ability to be comfortable at networking / relationship building across a wide range of internal departments, compliance functions, and industry bodies
- Excellent communication skills, both written and verbal are essential, along with strong influencing, problem solving, organisational, and stakeholder management skills
- Flexibility to adapt to changing priorities to meet organisational and business needs is essential
- An expert in all aspects of Control Room activities, particularly regulations and best practices concerning information barriers and the ability to communicate these effectively throughout the organisation as well as the ability to establish strong contacts within the industry
- Self-motivated, organised, and results orientated
- Ambition to develop and progress
Deutsche Bank is an equal opportunity employer who seeks to recruit and appoint the best available person for a job regardless of marital / civil partnership status, sex (including pregnancy), age, religion, belief, race, nationality and ethnic or national origin, colour, sexual orientation or disability.
Please let us know if you require any adjustments to enable you to apply or attend an interview. If you would like to discuss your requirements, or have any concerns about the application process, please contact your recruiter.