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C&AFC – Markets Compliance - VP

senior · Risk & Compliance

C&AFC – Markets Compliance - VP

Position Overview

Details of the Division and Team:    

The key functions of this role are to provide support to the Global Markets Compliance team by (i) providing professional, timely advice and guidance to the business (ii) ensuring adherence to Bank policies and procedures, and relevant legal/regulatory frameworks; (iii) reviewing, monitoring existing controls and performing risk assessments, and iii) preparing reports/reviews for business, Compliance management and the regulators.
 

What we will offer you:         

A healthy, engaged and well-supported workforce is better equipped to do their best work and, more importantly, enjoy their lives inside and outside the workplace. That’s why we are committed to providing an environment with your development and wellbeing at its center.

You can expect:

• Competitive Salary and non-contributory pension

• 20 days annual leave plus generous number of public holidays

• Life Assurance and Private Healthcare for you and your family

• A range of flexible benefits including retail discounts, gym benefits, wellbeing incentives

• The opportunity to support a wide ranging CSR program plus take volunteering leave days

Your key responsibilities:

• Reporting to Head of Global Markets Compliance in HK, this successful candidate will provide compliance coverage for HK FIC business including but not limited to FX, Credit, Rates and structured products to Institutional and corporate clients.

• Provide timely compliance and regulatory advice for the businesses and associated support functions, including advice on existing and new Hong Kong rules & regulations. 

• Evaluate the applicability of the relevant regulations, identify the compliance risk and assess the impact of regulatory change by working with business and other support functions to establish and maintain effective control mechanisms. 

• Review and sign off new business initiatives, new product and new transaction approvals and processes from a regulatory perspective. 

• Deliver training on regulatory requirements and internal policies to business and support staff.

• Prepare / review internal reporting to management and regulatory reporting to regulators.

• Review and investigate alerts raised by the surveillance team and work with the business to ensure compliance with applicable regulatory requirements.

• Provide compliance support on cross-border transactions and business activities, working closely with Compliance colleagues across Asia and other regions.

• Assist the business to update the relevant business policies and procedures and provide credible challenge to the control framework.

• Work on regulatory enquiries, surveys and inspections related to the businesses. 

• Lead or be involved in regional and global initiatives and projects as required.

• Participate in industry groups relevant to Markets business topics/issues.

Your skills and experience:

• Knowledge of regulatory and compliance requirements, especially those related to Fixed Income

• At least 5 years of relevant experience with a financial institution covering Fixed Income

• Ability to work independently and collaboratively

• Strong analytical skills, detail-oriented, quick study

• Team player

• Excellent verbal and written English skills are a must

• Fluency in Chinese will be an added plus

• Proven ability to leverage AI tools to enhance productivity, optimise workflows to solve business problems, while applying critical judgment to ensure responsible and ethical use of data and AI outputs.

How we’ll support you:         

• Flexible working to assist you balance your personal priorities

• Coaching and support from experts in your team

• A culture of continuous learning to aid progression

• A range of flexible benefits that you can tailor to suit your needs

• Training and development to help you excel in your career

About us and our teams:

Deutsche Bank is the leading German bank with strong European roots and a global network. click here to see what we do.

Deutsche Bank & Diversity

We strive for a culture in which we are empowered to excel together every day. This includes acting responsibly, thinking commercially, taking initiative and working collaboratively.
Together we share and celebrate the successes of our people. Together we are Deutsche Bank Group.
We welcome applications from all people and promote a positive, fair and inclusive work environment.