Compliance - Compliance Testing Officer - AVP
Deutsche Bank AG
Hong Kong, Hong Kong
5天前

Regulation, Compliance & Anti-Financial Crime

Regulation, Compliance and Anti-Financial Crime (AFC) protects the integrity and reputation of Deutsche Bank. It manages the Bank’s risks and help to avert unintentional rule breaches and conflicts of interest.

At the same time, we also advise the bank on ethical conduct and governance issues and keep the bank up to date on regulatory and political challenges.

Overview :

The Compliance Testing team is responsible for providing assurance testing on the design and operating effectiveness of the businesses’ control environment and adherence to applicable regulations and the Bank’s policies.

Compliance Testing develops and executes an annual, risk based testing plan that covers the risk categories owned by Compliance, across all businesses in the region.

For Hong Kong (HK), the relevant businesses are :

  • Corporate & Investment Banking (CIB) Equities, Fixed Income and Currencies, Global Transaction Banking and Corporate Finance;
  • Private Wealth and Commercial Clients (PWCC) divisions; and
  • Deutsche Asset Management (DWS).
  • The HK CT team comprises of 9 FTE. The role reports to a VP in Compliance Testing.

    The role requires strong Compliance Risk Management experience, with 5-7 years in Compliance / Compliance Testing / Audit / Risk and Control in financial services

    Roles and responsibilities :

  • Collaboration with various Compliance stakeholders to ensure the implementation of adequate and effective testing program for APAC that meet both BaFin and local regulatory requirements;
  • Supporting the execution of the testing program for L1 controls, potentially including reviews at the non-hub offices;
  • the opportunity for travel to other jurisdictions may be available

  • Ensuring that all issues raised in CT have adequate remediation plans that are tracked and escalated promptly and appropriately;
  • Developing relationships with the relevant Business Management offices, Divisional Control teams and Infrastructure functions;
  • Sharing best practice and learnings with CT colleagues locally / regionally / globally;
  • Assisting in the development and maintenance of appropriate Management Information to inform Senior Management of pertinent matters, in line with global Deutsche Bank / Compliance / CCF / CT standards;
  • Liaising regularly with relevant businesses, Business Line Compliance and other colleagues to remain abreast of developments as it pertains to CCF / CT;
  • ensuring stakeholders are aware of the likely impact on the controls testing program and implementing changes where necessary; and

  • Assisting in any ad-hoc projects and tasks as necessary.
  • Skills and qualification :

    Skills required :

  • Good understanding of Compliance Risks and the ways in which the risks will crystallize in practice, so as to be able to test adequacy and effectiveness of the Compliance Risk Management framework implemented to address those risks;
  • The drive, discipline and enthusiasm to work independently under pressure;
  • Strong attention to detail and ability to identify changes and impact of any changes to documents, systems and processes as against compliance risks, remediation required, etc.;
  • Good drafting skills, including the ability to record and describe complex issues clearly and succinctly, in a way that are easily understandable by any recipient of the relevant reports.
  • Able to quickly understand complex issues and set a course of action (that others are prepared to follow) to meet specific goals;
  • Strong investigative and analytical skills enquiry, analysis, interviewing, testing;
  • Strong verbal, written and presentation skills;
  • Proactive will seek to find the right solution and options to issues within and outside their specific remit, without being prompted and within an appropriate matrix management framework;
  • Assertive and engaging and able to quickly build and maintain effective working relationships;
  • Strong collaborative team player receptive to exchange of ideas and constructive criticism;
  • Multi-cultural awareness and sensitivity
  • Ability to work with different review leads and managers within Compliance Testing
  • Experience required :

  • 5 to 7 years’ experience of in Compliance / Compliance Testing / Audit / Risk and Control in a complex financial services environment, preferably with the same mix as Deutsche Bank;
  • Relevant technical / product knowledge to the activities of DB in APAC;
  • Education / Qualifications :

  • Educated to degree level with a demonstrable professional qualification;
  • Fluent in English, knowledge of another Asian language a plus, and
  • Proficient in the use of Microsoft Outlook, Excel, Word, and PowerPoint.
  • 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.

    Deutsche Bank does not accept unsolicited curriculum vitae from third party vendors.

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