Compliance - Head of Compliance & AFC Testing, N Asia - Vice President / Director
Deutsche Bank AG
Hong Kong, Hong Kong

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.

Position Overview

Role Responsibilities & Tasks :

  • Lead and manage the HK Testing & QA team of approximately 11 people (with possible future growth) across multiple jurisdictions, with direct and / or functional reporting lines;
  • Source and hire talent into the team to meet growth plans as well as replace any attrition that might arise.
  • Develop, maintain and execute an appropriate Testing program for North Asia including ensuring that each review is appropriately scoped and executed to the highest standard;
  • Oversee the delivery by the team against set timelines, identifying and addressing delays, and ensuring the delivery of all items on the Test Plan within the relevant timeframes permitted
  • Ensure timely and appropriate escalation and reporting of issues noted by Testing & QA;
  • Own and develop relationships with stakeholders, including front-office colleagues, Compliance, AFC and other Infrastructure Groups; and
  • Respond to regulatory enquiries and Audit requests in a timely and complete manner
  • People Management :

  • Directly manage Testing & QA senior team members and ensure that the senior members are appropriately managing their direct reports, in an environment where talent acquisition, people management and development is the number one priority;
  • Guide, develop and mentor all the individual members of HK Testing & QA in order to enhance Testing skills, industry and regulatory awareness, and technical and institutional knowledge, driving the identification and development of potential future leaders;
  • Act as a role model for the Bank’s values and beliefs for all employees, providing help and support to new joiners to facilitate early integration and assimilation of their new environment;
  • Actively support the Bank’s strategy, plans and values, contributing to the achievement of a high performance culture;
  • Support tough people decisions to ensure people performance is aligned with organizational imperatives and needs. Address individual performance issues, where necessary, to drive for high performance, and
  • Take ownership for own career management, seeking opportunities for continuous development of personal capability and improved performance contribution;
  • Skills required :

  • Strong understanding of compliance & AFC Risks and the ways in which the risks will crystallize in practice, so as to be able to test adequacy and effectiveness of the Risk Management framework implemented to address those risks;
  • Ability and desire to quickly understand an area outside the persons existing experience through independent research and analysis, so as to be able to adequately test or oversee testing of new businesses, processes or compliance & AFC risks;
  • Very strong attention to detail and ability to identify changes and impact of any changes to documents, systems and processes as against compliance & AFC risks, remediation required, etc.;
  • Excellent 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;
  • Very strong sense of ownership in respect of the North Asia Compliance & AFC Testing program;
  • Very strong people management skills, able to deal with a diverse and remote team, spread across Asia with direct or matrix reporting lines, and with varying levels of compliance & AFC Testing experience so as to build and maintain a strong and capable testing team;
  • Assertive and engaging and able to quickly build and maintain effective working relationships;
  • the ability to generate innovative ideas and challenge the status quo, and multi-cultural awareness and sensitivity; and
  • The ability to work independently with minimum direction.
  • Experience required :

  • 10 to 15 years’ experience in building and providing assurance over compliance & AFC Risk management Frameworks
  • 10 to 15 years’ experience of delivering compliance & AFC Testing in a complex financial services environment, preferably with the same mix as Deutsche Bank;
  • Strong CIB experience is required

  • 10 to 15 years’ experience in compliance, with a strong knowledge of banking and securities laws, regulations, directives, regulatory expectations, and compliance & AFC risks affecting the Bank;
  • Excellent technical / product knowledge relevant to the activities of DB in APAC;
  • Proven senior management engagement experience, including the ability to influence and drive change.
  • Extensive experience managing diverse and remote teams in a matrix organization; and
  • Experience with managing regional and global functions reporting lines successfully, ensuring appropriate information flow between the multiple stakeholders.
  • 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 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.

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

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