Compliance - Asia Pacific Control Room \u2013 AVP

Hong Kong
16 Jun 2018
07 Jul 2018
Contract type
Full time

Regulation, Compliance & Anti-Financial Crime

Regulation, Compliance and Anti-Financial Crime (AFC) protects the integrity and reputation of Deutsche Bank. It manages the Bank's risks and help to avert unintentional rule breaches and conflicts of interest. At the same time, we also advise the bank on ethical conduct and governance issues and keep the bank up to date on regulatory and political challenges.

Position Overview

The Compliance Control Room is a global function within Deutsche Bank and is made up of regional Control Room's to form part of the global network (Asia: Hong Kong and Japan; EMEA: UK; Americas: New York), providing a seamless 24-hour CR coverage to the Bank globally. This role involves the provision of Compliance Control Room day to day advisory coverage to the Corporate and Investment Bank (CIB), Asset Management and Private and Commercial Bank business divisions across the region (ex-Japan).

Roles and responsibilities:
  • Control and monitor the flow of Price Sensitive Information ("PSI") within the Bank via the use of Information Barriers - Maintaining the Bank's Watch List and Restricted List to ensure compliance with applicable securities laws and regulations, ensure records are complete & accurate at all times. Deal with wall-crossing requests, advise the business on the firm's and individual's information barrier status and any other issues that may arise in reference to the flow of non-public price sensitive information.
  • Responsible for clearing day to day Equity and Fixed Income research to avoid conflicts against the various CR lists. Identify perceived and real conflicts and work with internal/external counsel and/or management to resolve them.
  • Review and manage cross divisional conflicts and outside business interests; escalate potential conflicts to management to resolve.
  • Work with business line compliance and legal counsel to provide comments on Global Capital Markets deal related research guidelines and review pre-deal research.
  • Provide compliance advice to the business relating to research and trading restrictions.
  • Assist to develop and update Control Room-related policies and procedures to address changes in regulatory and internal policy requirements across the region.
  • Provide support on other ad-hoc projects.
  • Provide training as required.

Skills and qualification:
  • University graduated with at least 4 to 5 years of compliance / control experience in the banking industry. Control Room / Equities / Corporate Finance/ Transaction Monitoring experience is an advantage.
  • Excellent communication and interpersonal skills with ability to build good working relationships with Control Room stakeholders.
  • Knowledge of banking rules and regulations, and familiar with the global banking practices and regulatory environment.
  • Project management experience is an advantage.
  • Ability to work well under pressure in meeting deadlines, in fast pace and intense environment.
  • Strong analytical and judgment skills, attention to details and thoroughness of execution.
  • A strong sense of teamwork and be ready to take up challenging responsibilities.

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.