C&AFC Global Markets Compliance - VP

Position Overview

Details of the Division and Team:

The key functions of this role are to provide support to the Global Markets Compliance team for Equity business 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 and monitoring existing controls and performing risk assessments, and (iv) preparing reports/reviews for business, Compliance management and the regulators.

What we will offer you:

A healthy, engaged and well-supported workforce is better equipped to do their best work and, more importantly, enjoy their lives inside and outside the workplace. That's why we are committed to providing an environment with your development and wellbeing at its center.

You can expect:

• Competitive Salary and non-contributory pension

• 20 days annual leave plus generous number of public holidays

• Life Assurance and Private Healthcare for you and your family

• A range of flexible benefits including retail discounts, gym benefits, wellbeing incentives

• The opportunity to support a wide ranging CSR program plus take volunteering leave days

Your key responsibilities:

• Providing timely advice to Equities business including the senior management in Hong Kong and the relevant support functions in complying Equities regulatory requirements and ensure the minimum controls to be put in place

• Disseminating changes in regulations and internal compliance policies and controls to the Equities business and provide compliance guidance on the regulatory changes for implementation

• Assisting Equities business to update the relevant business policies and procedures and providing creditable challenges to the control framework

• Providing compliance guidance to Equities business in drafting and maintaining local policies and procedures

• Handling ad hoc real time trade related and other queries on HK Equities specific regulatory requirements and any Japan exchange requirements

• Reviewing and following up with Equities Business in relation to the alerts raised by surveillance team to ensure compliance with regulatory and legislative requirements

• Represent Compliance to participate into Equities related forums / governance meetings to provide regulatory updates, advice and any escalation to the senior management

• Providing induction training and other regular compliance training to the Equities business, relevant support functions and other compliance teams

• Preparing / reviewing internal reporting to management and regulatory reporting to regulators

• Work closely with the business, operations, legal and other relevant support functions on new business initiatives, e.g. business expansion including, but not limited to, tapping other APAC jurisdictions and/or exploring settlement capabilities, and any other transaction approvals

• Liaising with regulators, stock exchanges, e.g. HKEX and JPX, relevant industry bodies and industry groups and replying to regulatory enquiries as well as coordinate the regulatory inspections and

• Candidate with CF/ECM background is preferred to better support the Equities Distribution franchise. This may include having CF/ECM working knowledge on regulations and product, along with taking a regional co-ordination for other impacted jurisdictions as the Business expands.

Your skills and experience:

• University degree or other closely related professional qualification

• Ideally minimum of 5 years of experience in Equity Compliance Advisory role with a major investment bank

• Experience and knowledge of the financial / banking rules and regulations in Hong Kong

• Ability to work independently and collaboratively

• Ability to communicate effectively

• Strong interpersonal skills

• Able to think analytically, problem solve and undertake research

• Strong time management skills and attention to details

• Ability to manage multiple tasks in a high-pressure, deadline driven environment

• Fluency in Chinese will be an added plus

How we'll support you:

• Flexible working to assist you balance your personal priorities

• Coaching and support from experts in your team

• A culture of continuous learning to aid progression

• A range of flexible benefits that you can tailor to suit your needs

• Training and development to help you excel in your career

About us and our teams:

Deutsche Bank is the leading German bank with strong European roots and a global network. to see what we do.

Deutsche Bank & Diversity

We strive for a in which we are empowered to excel together every day. This includes acting responsibly, thinking commercially, taking initiative and working collaboratively.
Together we share and celebrate the successes of our people. Together we are Deutsche Bank Group.
We welcome applications from all people and promote a positive, fair and inclusive work environment.