CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Compliance - Licensing and Registrations \u2013 Assistant Vice President
Deutsche Bank APAC
May 5, 2018
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.
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.
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.