Head of Markets Compliance Director

1 week ago

Hong Kong, Central and Western District, Hong Kong SAR China 0786 Deutsche Bank Aktiengesellschaft, Filiale Hongkong Full time
About the Role

We are seeking a highly experienced and skilled Compliance professional to join our team as Head of Markets Compliance, Hong Kong. As a key member of our Compliance Department, you will be responsible for promoting and enforcing adherence with laws, regulations, rules, and expectations of regulators in connection with our regulated activities.

Key Responsibilities
  • Provide day-to-day and strategic leadership and direction to the Compliance Programme within Hong Kong Markets.
  • Ensure timely escalation of material matters that impact Markets Hong Kong to the APAC Head of Markets Compliance and the APAC Head of CB & IB Compliance.
  • Work with stakeholders to ensure the framework of policies, procedures, training, risk assessment, control environment, testing, and surveillance are sufficiently comprehensive, up to date, and effective.
  • Provide guidance and support to the product Business Line Compliance teams and senior management within the businesses as appropriate.
  • Co-ordinate with regional peers to assure the consistency of the programme and awareness of emerging risks.
  • Lead implementation of regulatory change programmes and projects within Compliance and the businesses.
  • Manage Compliance-related books of work to support remediation initiatives.
  • Provide leadership and assistance on ad-hoc investigations and regulatory enquiries.
  • Provide subject matter expertise on Markets issues to the Central Compliance teams and Country Compliance Officers as appropriate.
  • Manage and run global/regional monitoring and testing programs under HK and report findings as required under the Program.
  • Work closely with the business leads to ensure key risks and emerging risks are regularly reassessed, well understood within the businesses, and mitigation initiatives are on track.
  • Manage performance standards within the Business Line Compliance teams against agreed targets, strategy, and objectives.
  • Assess ongoing resource needs with business leads and Compliance management and undertake recruitment as necessary, including succession planning for the overall team.
About You

We are looking for a highly experienced and skilled Compliance professional with a strong track record of delivery on regulatory change programmes and major Compliance projects. You will have significant experience (minimum 10 years) in senior Compliance advisory roles, ideally spanning a wide range of Markets products at a major investment bank(s). You will also have strong interpersonal and people management skills with proven experience of working with senior business leaders and providing guidance in 'live' business environments.

What We Offer
  • Competitive salary and non-contributory pension.
  • 25 days annual leave plus generous number of public holidays.
  • Life assurance and private healthcare for you and your family.
  • A range of flexible benefits including retail discounts, gym benefits, wellbeing incentives.
  • The opportunity to support a wide-ranging CSR program plus take volunteering leave days.

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