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Compliance - Compliance Control Testing - Assistant Vice President
Deutsche Bank APAC
September 15, 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.
Key Role Responsibilities and Tasks:
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 colleague's 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.
Key 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
Experience and Education qualifications 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 Deutsche Bank in APAC;
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.