Market Compliance - Senior Business Advisor - Vice President Market Compliance - Senior Business Advisor - Vice  …

Deutsche Bank
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 30 Mar 20
Deutsche Bank
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 30 Mar 20
Market Compliance - Senior Business Advisor - Vice President
Position Overview

  • Advisory - Provide advice on regulatory compliance issues, with specific coverage focus on Prime Services and Electronic Execution business. Requires hands on knowledge with DMA, Algos, Internalization Engines, Delta 1, Derivatives, Stock Borrowing/Lending and Prime Brokerage business.
  • New business initiatives - Review new business initiatives from a local regulatory, best practice and Firm perspective.
  • Compliance policies and procedures - Review manuals and Compliance Notices to ensure they are properly revised or updated when necessary, and draft new manuals, Compliance Notices, policies and procedures in light of regulatory or business changes.
  • Desk reviews and testing - Provide advice to the Desk Review Team to identify risk areas or lead independent reviews and testing of business practice.
  • Regulatory interaction - Help develop and manage the Firm's contact and relationship with its regulators, ensuring that communications between the Firm and its regulators are open and constructive.
  • Industry contacts - Work on communications with industry participants to ensure appropriateness and consistency.
  • Reporting - Compliance responsibility for relevant regulatory reporting, including trade error reporting.
  • Training - Develop training materials and provide training to staff.
  • Surveillance - Work with the Surveillance team on investigating irregular trading activities, document findings and help prepare regulatory responses.

  • Knowledge of regulatory and compliance requirements, especially those related to equities activities.
  • At least 4 years of relevant experience with a financial institution covering equities activities.
  • Strong analytical skills, detail-oriented, quick study.
  • Team player.
  • Excellent verbal and written English skills is a must.
  • Ability to speak and read Chinese is a plus.

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