Risk – Control Room (AVP) recruitment
About Deutsche Bank
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.
About Risk
Deutsche Bank is exposed to a number of risks on a daily basis. These range from credit losses, market price volatility and operational failures to liquidity shortages and regulatory and legal matters. The Risk division is charged with identifying, aggregating, managing and mitigating these risks. We are made up of Compliance, Corporate Security Business Continuity, Credit Risk Management, Legal, Market Risk Management, Operational Risk Management Risk Analytics and Instruments, Treasury, and our Chief Operating Office.
We are continually providing new solutions as we keep pace with increasingly complex financial products and ever-changing market dynamics. We place a strong emphasis on specialized training and education. This allows our people to develop the necessary skills to grow and succeed.
Responsibilities
- Maintaining the Chinese Walls – Maintain and monitor Control Room list (Restricted, Watch Conflicts), ensure records are complete accurate at all times. Deal with wall-crossing requests and monitor the activities of marketing personnel who are over-the-Wall. Advise the business on CW and any other issues that may arise in reference to the flow of information.
- Responsible for clearing day to day Equity and Fixed Income research to avoid conflicts against the various Control Room lists. Identify perceived and real conflicts and work with internal/external counsel and/or management to resolve them.
- Conduct conflict clearance analysis and pre-clear Conflicts of Interests (transactions) across the various business units; escalate potential conflicts.
- Work with advisory compliance and legal counsel to provide comments on Global Capital Markets deal related research guidelines and review pre-deal research.
- Review surveillance for potential insider trading, front running and breaks of the Chinese Wall by the Firm and by employees and review surveillance for breaks of the Firm’s Watch and Restricted List policies. Participation in the development of the Global Monitoring and Surveillance project.
- Update and improve compliance procedures to address changes in regulatory and internal policy requirements across the region.
- Perform additional tasks and global projects.
Skills / Experience
- University graduated with at least 4 to 5 years of compliance or control experience in the banking industry. Control Room, Equities, Corporate Finance or Transaction Monitoring experience is an advantage.
- Excellent communication and interpersonal skills, with the ability to build good working relationships with different business and operations departments.
- Knowledge of banking rules and regulations, and familiar with the global banking practices and regulatory environment.
- Project management experience is an advantage.
- Resilient and enthusiastic, a change driver who challenges the status quo in a creative manner.
- Ability to work well under pressure in meeting deadlines.
- Attention to detail, efficient and strong administration and organisational skills.
- A strong sense of teamwork and be ready to take up challenging responsibilities.
- Self-driven team player with a strong desire to succeed.
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.