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.
Maintaining the Information Barriers - Maintain, monitor Control Room list (Restricted and Watch), ensure records are complete & accurate at all times. Deal with wall-crossing requests and monitor the activities of public side personnel who are over-the-Wall. Advise the business on information barrier and any other issues that may arise in reference to the flow of information.
Maintenance of the Information Barrier Designations that are designed to reflect an employee's access to PSI and are managed within the Information Barrier System.
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.
Provide compliance advice to the business relating to research and trading restrictions.
Review pre-deal research and provide guidance on analyst's pre-deal investor education meeting.
Liaise with Control Room Information Technology team in the development and UAT of the relevant Compliance Control Room systems.
Provide support on Control Room re-engineering or other ad-hoc projects.
University graduated with at least 2-3 years in the banking industry. Control Room / Equities / Corporate Finance / Compliance Testing / Monitoring & Surveillance experience is an advantage.
Good communication and interpersonal skills with 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.
Ability to work well under pressure and within tight deadlines with no loss of accuracy;
Attention to detail, efficient and strong administration / organisational skills.
A strong sense of teamwork and be ready to take up challenging responsibilities.
Willingness to work flexible hours
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.
Deutsche Bank does not accept unsolicited curriculum vitae from third party vendors.
Internal Number: 5842886
About Deutsche Bank APAC
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