Compliance - Compliance Officer, Surveillance \u2013 Associate\/Assistant Vice President
Deutsche Bank APAC
May 16, 2018
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.
Our Legal, Compliance and Government & Regulatory Affairs department manages the legal services, reviews trade reports and educates to avoid unintentional rule breaches or conflicts of interest, and advices on regulatory and political challenges. We protect the integrity and reputation of the bank by managing legal risk to make transactions viable and safe. We advise on ethical conduct and identify regulatory solutions. We promote and foster lawful and ethical business through a true partnership with the business.
In the APAC region, Surveillance team consists of a team of 50+ analysts and compliance officers located in Bangalore, Hong Kong and Tokyo and Singapore. The person in Singapore will represent the Surveillance functions and coordinate market surveillance and testing and monitoring locally.
The key functions of this role will be to provide support to the Singapore Surveillance lead to manage market surveillance related questions in the Singapore office
The responsibilities for the role will be to undertake the following main responsibilities:
Report the effectiveness of the Trade and Communication Surveillance process to relevant stakeholders, i.e. Advisory management, Business.
Provide guidance and training to the Central Compliance team, mentoring and development of staff involved in the surveillance process to ensure effective and efficient operation of surveillance activities.
Review and fully investigate Trade and Communication Surveillance escalations in a timely manner, taking any necessary action.
Prepare and present relevant management information to stakeholders.
Submitting any applicable report to regulators in the region
Managing projects including relating to surveillance or Compliance Control Framework Level 2 Testing
Advising on regional regulatory developments which may impact the surveillance processes.
Act as SME or business advisor for surveillance matters.
Background within the financial services industry
Investigation background would be a strong advantage
Knowledge of applicable securities laws
Knowledge of Trade or Communication Surveillance will be a major advantage
Strong analytical skills with good attention to detail.
Strong knowledge of investment banking and financial markets products, specifically Foreign Exchange and Fixed Income
The ability to work under pressure and within tight deadlines.
An understanding of the legal and compliance issues of an investment bank
Ability to engage with senior management, different stakeholders and external Auditors
Ideally fluent in English and Mandarin. Successful candidate will be involved in working closely with different stakeholders in the region. In addition, will be reviewing documents written in Mandarin
Strong verbal and written communication skills. Ability to influence without authority.
Excellent computer literacy, specifically knowledge of applying computer programming skills to manage large amounts of data would be a strong advantage.
Able to work well in a matrix organization
Ability to work well within a team.
Action oriented with a strong focus on completing tasks while working independently and with minimum direction.
Proactive in approach to tasks and responsibilities.
Energetic and enthusiastic.
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.