Job ref no.: CT3114387-01#8596

Compliance - Licensing and Registrations V Assistant Vice President

Deutsche Bank

The Chief Regulatory Office (CRegO) covers Regulation, Compliance and Anti-Financial Crime. We work to protect the integrity and reputation of the bank. We anticipate and embrace political and regulatory change, promote a culture of ethical conduct and adherence to applicable law, and help the bank to prevent, detect and report financial crime.

We do this by: providing independent and expert advice to the businesses; establishing risk management frameworks and enhancing the bank’s control environment; engaging proactively and transparently with stakeholders inside and outside the bank; and promoting awareness across the bank of our areas of responsibility.

Roles and Responsibilities

Handling SFC and HKMA licensing matters including registration, de-registration, examination and CPT tracking.
Handling CE/ACE appointments, s72 manager and MIC appointments, EO, RO and Principal applications.
Being a point of contact with the regulators for any matters in relation to registration and licensing.
Monitoring and performing regular reviews on licensing status of employees.
Updating business and business line compliance on new/amended regulations relating to licensing/registration when required.
Providing advice to business and individual staff on licensing matters.
Working on compliance monitoring and review on ongoing licensing requirements of the firm and individual staff.
Reviewing Returns and forms filed to the HKMA/ SFC.
Escalating on a timely basis material compliance matters to compliance management and other stakeholders.
Providing record keeping of Swap Dealer AP Questionnaire and US Sec Rule 15a-6 forms for HK staff and informing the relevant Swap Dealer Compliance Berlin Team or US.
Compliance Team of any addition/deletion of such records. Involvement in the annual recertification exercise of HK staff designated as Swap Dealer AP.
Drafting and updating the KOPs
Participating in Compliance projects.
Working on any ad hoc compliance tasks.
Providing guidance to junior staff in the team.
May be required to provide support to the broader Employee Compliance team which covers personal account dealing, outside business interests and Compliance attestations.
Work Experience and Education Qualifications

5 years plus experience, able to work on multiple projects, able to deal with assertive individuals and hold challenging conversations work without supervision.
Experience in banking and compliance preferably in licensing and registration.
Degree level

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.

All applications applied through our system will be delivered directly to the advertiser and privacy of personal data of the applicant will be ensured with security.

More job information
Job ref no. CT3114387-01#8596
  • N/A
Job Function
  • 0 year - 5 years
Career Level
  • Entry level
  • N/A