Compliance - Asia Pacific Control Room - Vice President

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

Role Description

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).

Key Responsibilities and tasks

• 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, advice 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.
• Review 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.
• 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.
• Develop and update Control Room-related policies and procedures to address changes in regulatory and internal policy requirements across the region.
• Provide trainings to the business lines and other members of Compliance on Control Room topics.
• Participate in and provide Control Room co-ordination for any internal audit reviews for various businesses and ad-hoc regulatory inspections in the region.
• Provide coaching to junior team members on daily work.
• Contribution to the performance of supervision controls with the team, including define the best solution and to motivate others considers new ideas or approaches that could be benefit to the team on better cooperation and more efficient delivery.
• Contribute and participate in any ad-hoc projects.

Required Experience

• Minimum 6 years of compliance / control room experience in the banking industry. Control Room / Equities / Corporate Finance / Research compliance 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 for the management of conflicts of interests and interest.
• 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 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.