Compliance Manager - Global Markets - Vice President
Position Overview Background
Deutsche Bank is one of the world's leading international financial services providers with over 87,000 employees in 63 countries. The operations of DB include the following business groups:
Corporate and Investment Banking
Private, Wealth and Commercial Clients
Deutsche Asset Management
Deutsche Bank in Australia & New Zealand has approximately 4000 representatives operating within these businesses plus infrastructure functions. The Compliance mission is to:
- Assist the Bank, its management and employees in the management of Compliance risk which includes: providing guidance (advice, policies, training), assessing, monitoring and reporting;
- Use a risk based approach while also aiming to facilitate the Bank's advancement of its business interests, in compliance with applicable laws, regulations, internal policies and market practice;
- Help safeguard the Bank's franchise and reputation as well as upholding its Values and Beliefs; and
- Support an open and transparent dialogue with all regulators.
Qualifications and Personal Attributes :
- Support and facilitate Compliance initiatives, projects and tasks impacting Markets' businesses.
- Collaborate with the business and other compliance, AFC & CT personnel to establish and maintain for Markets, an integrated compliance and supervisory framework.
- Act in accordance with Deutsche Bank's Code of Business Conduct and Ethics and actively promote the Bank's Values and Beliefs.
- Providing timely responses to general and complex questions on a broad range of policies, procedures, regulations and bank requirements, with respect to sales practices, best practices, operations, products and trading including responding to regulatory matters and enquiries.
- Advise and assist representatives (business and infrastructure) on compliance matters and issues, including advising on the regulatory, compliance and other implications for new business initiatives with an ability to develop solutions that meet various internal and external requirements.
- Assist in the delivery of risk analysis and the carrying out of Level 2 monitoring and control testing relying on CT and other resources.
- Act as a regulatory contact point, assist in the maintenance of regulatory relationships and respond to regulatory enquiries.
- Identifying regulatory trends and developments that impact Markets' businesses.
- Participate in relevant local, regional and/or global forums and committees to provide relevant information and determine appropriate strategies and priorities.
- Promote relationships with relevant Business Managers, Divisional Control teams, AFC and other Infrastructure functions.
- Communicate appropriate Management Information to inform Markets' management of relevant matters in a timely way.
- Liaise with industry peers and professional associations to contribute the market policy and ensure DB's practices are consistent with market practice.
- Contribute to and develop local and global Compliance policies and procedures.
- Prepare and deliver appropriate face-to-face training for relevant front and back-office staff.
- Oversee the management of client complaints.
- Possess a minimum of 5 years Compliance (including in a Markets role), auditing or regulatory risk management/advisory experience within a financial institution, regulator and/or within a similar environment.
- Be educated to a degree standard.
- Possess a thorough working knowledge of Australian and New Zealand regulatory framework (including Market Integrity Rules) and relevant bodies.
- Be equipped to communicate clearly and effectively on all matters with key stakeholders at all levels including senior management and externally.
- Be able to act as a strong collaborative team member to enable the open exchange of ideas and effective decision making.
- Possess proven organisational skills, including an ability to influence outcomes and prioritize effectively.
- Be able to exercise sound judgment whilst generating new ideas and challenging the status quo.
- Have the proven ability to collaborate with multiple stakeholders, including other Compliance personnel; AFC. Legal, Group Audit, GTO, Finance, Risk Management and other internal business partners.
- Be able to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced and high pressured environment.
Our values define the working environment we strive to create - diverse, supportive and welcoming of different views. We embrace a culture reflecting a variety of perspectives, insights and backgrounds to drive innovation. We build talented and diverse teams to drive business results and encourage our people to develop to their full potential. Talk to us about flexible work arrangements and other initiatives we offer.
We promote good working relationships and encourage high standards of conduct and work performance. We welcome applications from talented people from all cultures, countries, races, genders, sexual orientations, disabilities, beliefs and generations and are committed to providing a working environment free from harassment, discrimination and retaliation.
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