Head of Markets Compliance Director

5 days 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 Director to join our team at Deutsche Bank Aktiengesellschaft, Filiale Hongkong. As a key member of our Compliance Department, you will play a critical role in protecting the Bank's licenses to operate by promoting and enforcing adherence with laws, regulations, rules, expectations of regulators, the standards of self-regulatory organizations, and codes of conduct/ethics in connection with the Bank's regulated activities.

Key Responsibilities

  • Provide day-to-day and strategic leadership and direction to the Compliance Programme within Hong Kong Markets, promoting an environment that fosters constructive challenge and behavioral change to meet DB, regulatory, and market standards.
  • 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, further increasing awareness across the Businesses and Compliance in the region to ensure an increase in knowledge and consistency in approach.
  • Coordinate 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, managing 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.
  • Promote the career development of team members through active assessment of technical and non-technical skills.

Requirements

  • Significant experience (minimum 10 years) in senior Compliance advisory roles, ideally spanning a wide range of Markets products at a major investment bank(s).
  • Strong interpersonal and people management skills with proven experience of working with senior business leaders and providing guidance in 'live' business environments.
  • Ability to negotiate and influence at all levels, including within DB and the industry.
  • A strong track record of delivery on regulatory change programmes and major Compliance projects.
  • Educated to degree standard or a proven track record in the industry.
  • Supports the development of an environment where people management and development is the number one priority, coaches direct reports and others in the organisation, as appropriate.
  • Actively supports the business strategy, plans, and values, contributing to the achievement of a high-performance culture.
  • Takes ownership for own career management, seeking opportunities for continuous development of personal capability and improved performance contribution.
  • Acts as a role model for new employees, providing help and support to facilitate early integration and assimilation of their new environment.
  • Supports tough people decisions to ensure people performance is aligned with organisation imperatives and needs, addresses individual performance issues, where necessary, to drive for high performance.

About Us

Deutsche Bank Aktiengesellschaft, Filiale Hongkong is a leading financial institution with a strong presence in the region. We offer a dynamic and challenging work environment, with opportunities for professional growth and development. Our team is committed to excellence and integrity, and we are seeking like-minded individuals to join us in our mission to deliver exceptional results and make a positive impact in the community.

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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