Compliance – Senior Compliance Manager, FICC (VP) recruitment
A Passion to Perform. It’s what drives us. More than a claim, this describes the way we do business. We’re committed to being the best financial services provider in the world, balancing passion with precision to deliver superior solutions for our clients. 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.
The Compliance Manager – Fixed Income Commodities Credit (FICC) / Capital Markets Treasury Solutions (CMTS) / Institutional Client Group (ICG) Hong Kong will become part of the Compliance team that is responsible for being the Compliance interface for that business.
Responsibilities
- Providing compliance advice with regard to the applicable rules and regulations of FICC sales, trading and originations business from a Hong Kong perspective, or as it impacts the Hong Kong business
- Providing compliance advice on internal compliance standards, policies and procedures such as in respect of suitability, cross-border matters, etc;
- Tracking all relevant meetings with regulators as it pertains to the business, ensuring that all issued raised in such visits, reviews and inspections are tracked, agreed escalated promptly and appropriately with relevant documents being provided on a timely basis;
- Reviewing and assessing all new alerts, circulars and other regulatory notifications that impact the business and ensuring that the necessary business and Compliance divisions are aware of the likely impact. This should include agreeing who will handle any responses required and tracking such responses;
- Tracking any annual surveys and reviews required for regulators as it pertains to the business;
- Undertaking or providing assistance for regulatory enquiries or internal disciplinary matters;
- Participating in any appropriate regional and/or global compliance group calls that determine strategies and priorities for Compliance;
- Developing relationships with the business;
- Providing induction training to new joiners in the business within the first 4 weeks of them joining the team and ensuring relevant records are updated;
- Reviewing training needs of the business and providing ad hoc training as necessary to the business;
- Developing relationships with the relevant Infrastructure functions that support the business, providing ad hoc training on relevant procedures that impact the business, as required;
- Developing and maintaining appropriate Management Information to inform Senior Management of pertinent matters;
- Liaising regularly with relevant businesses, other Compliance and other colleagues to remain abreast of developments;
- Working with Legal, Compliance and other Risk functions in responding to SFC, HKMA and other regulatory enquiries, as required;
- Providing Compliance interface to the business for new projects on an as and when required basis;
- Liaising with AML colleagues on high risk or equivalent escalations;
- Undertaking regular monitoring of cross-border activity, suitability and other areas, as required;
- Participating in and providing input on new product approval processes;
- Providing Compliance support on sales related complaints; and
- Leading or assisting in any ad hoc projects as necessary.
Skills / Experience
- A minimum of 5 years Compliance, monitoring or auditing experience within a financial institution, regulator and/or similar environment;
- Educated to degree standard;
- Fluent in Mandarin, Cantonese and English;
- An ability to communicate clearly and effectively on local regulatory matters to key stakeholders at all levels;
- Strong knowledge of Hong Kong banking and securities laws and regulations, directives and regulatory expectations;
- The ability to work under pressure and within tight deadlines with no loss of accuracy;
- Proven analytical skills;
- Good organisational skills, including an ability to prioritise effectively; and
- Preference will be given to candidates with proven experience in a markets role in the compliance industry.
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, colour, sexual orientation or disability.