Job ref no.: CT3116513-01#1773

Compliance V Wealth Management Compliance - Associate

Deutsche Bank

Overview

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).

Roles and responsibilities:

  • Assist in coordinating response for regulatory enquiry and inspections
  • Assist to track key regulatory changes and ensure relevant business divisions are notified
  • Provide compliance input to the business for PWM’s broad array of products
  • Monitor cross-border marketing activity and distribution of sales material into various countries in North Asia and Hong Kong to ensure conformity with local restrictions / disclosures / disclaimers
  • Assist the business in drafting Key Operating Procedures (KOPS), compliance manuals, and core control documents that meet local regulatory and Deutsche Bank global requirements
  • Update / continuously improve compliance documents to ensure they reflect current regulation, industry best-practice, and changes in PWM business structure and activities
  • Assist to prepare materials for staff training
  • Assist to investigate and resolve referrals from Monitoring, Investigation and Surveillance Unit
  • Participate in compliance risk assessments, reviews and testing.
  • Participate in ad-hoc regional projects, compliance team initiatives and global practice groups

Skills and qualification:

  • Fluency in English; knowledge of Mandarin or Cantonese an asset
  • Good interpersonal, managerial, communication skills and cultural awareness
  • Minimum 3 years of working experience in a compliance, legal or regulatory fields of financial services industry, preferably with direct experience in wealth management business.
  • Strong analytical skills, meticulous, organised
  • Effective time management skills
  • Good team player

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.

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More job information
Job ref no. CT3116513-01#1773
Salary
  • N/A
Job Function
Industry
Employment Term
  • Full-time
Experience
  • 3 years - 6 years
Career Level
  • Entry level
Education
  • N/A