Chief Administrative Office - Global Market Compliance - Vice President

Deutsche Bank
Hong Kong, Hong Kong
Aug 09, 2022
Aug 19, 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Job Description

JD with hiring manager

Additional Job Description

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 and monitoring existing controls and performing risk assessments, and (iv) preparing reports/reviews for business, Compliance management and the regulators.

Your key responsibilities:
  • Provide compliance and regulatory advisory for the GM businesses in Hong Kong and associated support functions, including advice on existing and new Hong Kong rules & regulations.
  • Evaluate compliance with relevant regulations, issue identification, assessing the impact of regulatory change and working with business to build and maintain control mechanisms to remain in compliance with laws and regulations and to protect the reputation and franchise of the bank.
  • Perform compliance monitoring of business activities and ensure timely completion of compliance reviews and preparation of reports.
  • Further, to work with the relevant Business Management to assist in the implementation of agreed remedial actions.
  • Assess new business initiatives, new product and new transaction approvals and processes from a regulatory perspective.
  • Provide support to the Business on cross border transactions and businesses.
  • This will require good interpersonal skills to deal with Compliance officers in Asia and the Business located in Hong Kong, including developing a strong working knowledge of jurisdictions in Asia.
  • Maintain a strong compliance culture within the business through regular interaction with the Business.
  • Provide training on key regulatory or internal policies to relevant business and support staff.
  • Assist in regulatory enquiries, investigations and management of regulatory inspections as they each relate to the GM businesses.
  • Be actively involved in regional and global initiatives and projects as required.
  • Participate in industry groups relevant to Markets business topics/issues.
  • Prepare management and governance reports as needed.

Your skills and experience:
  • University degree or other closely related professional qualification
  • Ideally minimum of 5 years of experience in Markets Compliance Advisory role with a major investment bank
  • Experience and knowledge of the financial / banking rules and regulations in Hong Kong
  • Ability to work independently and collaboratively
  • Ability to communicate effectively
  • Strong interpersonal skills
  • Able to think analytically, problem solve and undertake research
  • Strong time management skills and attention to details
  • Ability to manage multiple tasks in a high-pressure, deadline driven environment
  • Fluency in Chinese will be an added plus

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