Compliance – Markets Compliance Officer
This is made possible by our people: agile minds, able to see beyond the obvious and act effectively in an ever-changing global business landscape. As you’ll discover, our culture supports this. Diverse, international and shaped by a variety of different perspectives, we’re driven by a shared sense of purpose. At every level agile thinking is nurtured. And at every level agile minds are rewarded with competitive pay, support and opportunities to excel.
This position will involve all aspects of compliance support for an institutional markets business, incorporating listed product sales and trading, FICC and structured products businesses.
Requirements
- Strong verbal, written and interpersonal communication skills
- Intuition, energy, and self motivation; and
- A strong work ethic and a passion for high performance
- Ability to identify and analyse complex regulatory issues
- Bachelor’s Degree or academic background or other training in finance and/or financial services.
- A minimum of 5 years relevant compliance experience, preferably at a major national or global investment firm with exposure to the listed equities or listed derivatives businesses and experience of regulatory environment surrounding these.
- A working knowledge of Australian and New Zealand regulatory framework and relevant bodies.
- Ability to effectively collaborate with multiple stakeholders including legal, Group Audit, Operations, risk management and other internal business partners.
- Ability to interact effectively with all levels of management, including senior management and markets sales and trading professionals.
- Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced and high pressured environment.
- Proficiency with PC applications and aptitude for learning a variety of systems.
Key Responsibilities
- Supporting Compliance initiatives that may include drafting policies and procedures, assisting in the research of and responding to regulatory inquiries, preparing and conducting compliance training presentations for business personnel, including the specialised training on specific regulatory obligations and internal policies and procedures.
- Collaborating with the business and other compliance personnel to establish and maintain an integrated compliance framework and supervisory structure.
- Providing timely responses to general and complex questions on a broad range of policies, procedures, regulations and firm requirements, with respect to sales practices, best practices, operations, products and trading including responding to regulatory enquiries.
- Advising business persons on regulatory and compliance requirements pertaining to new business initiatives with an ability to develop solutions that meet various internal and external requirements.
- Advise and assist senior management and staff on compliance matters and issues.
- Undertake special compliance-related projects including desk and targeted reviews.
- Identifying regulatory trends and developments, advising business staff as to how this may impact their current activities and working with supervisors to implement any required changes to current policy / practice; and
- Engaging with regulatory bodies and exchanges.
About the Rewards you can expect
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, color, sexual orientation or disability.
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