Chief Administrative Office – Corporate Finance Business Line Compliance, APAC – Vice President

The Compliance Department seeks to protect the Bank’s licenses to operate by promoting and enforcing adherence to 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.

Compliance also takes a leading role in driving a culture of compliance and ethical conduct in the Bank.

The Origination & Advisory and Capital Markets Compliance APAC (formerly called Corporate Finance Compliance APAC ) has, as its primary role, responsibility for supporting the whole Origination & Advisory Business and Capital Markets Business ( CF’) in APAC, including Hong Kong, China, Singapore, South East Asia countries, Japan and India and operations to comply with applicable rules, regulations, guidelines and industry best practices.

Joining Origination & Advisory and Capital Markets Compliance APAC offers candidates an opportunity to work on capital markets and advisory transactions while developing a comprehensive understanding of Deutsche Bank’s global and regional Corporate Finance business.Hong Kong is the hub for CF in APAC, the CF Compliance APAC in HK is the central team who works very closely with CF APAC to build and maintain control mechanisms and design and drive the implementation of the processes and procedures for the whole CF APAC to ensure consistency globally and regionally.

We are looking to hire a candidate with previous financial services industry experience in Hong Kong to assist with Asia Pacific Corporate Finance compliance coverage.

The candidate should be a self-starter with excellent communication skills who enjoy interacting with business and other stakeholders in a fast-paced environment.

Responsibilities

• Provide compliance and regulatory advice to Origination & Advisory and Capital Markets (together with Corporate Finance’) on transactions and general matters daily.
• Evaluate compliance with relevant rules and regulations, issue identification, assess the impact of regulatory change, and work with the businesses to build and maintain control mechanisms to comply with relevant laws and regulations to protect the reputation of the Bank.
• Assess the businesses’ process, new initiatives, and new product and/or transaction approvals from a regulatory perspective.

Design and drive implementation of necessary processes and procedures in response to changes to regulations and Bank policies.

• Work closely with Compliance senior management and the businesses to manage potential compliance and reputational risks.
• Represent Compliance in attending internal meetings of Corporate Finance
• Perform compliance review and monitoring of businesses’ activities and controls, document findings, breaches, and weaknesses, and drive execution of remediation actions, if any
• Coordinate with and closely with other Compliance teams regionally and globally, Legal and Business Manager, and Control Team.
• Maintain a strong compliance culture within the business through regular interaction with Corporate Finance. Develop and deliver Compliance training to the Business
• As required, actively participate in regional and/or global initiatives and projects.
• Assist in handling regulatory inquiries, investigations, and management of regulatory inspections as they each relate to the Corporate Finance business and coordinate responses with other departments in the Bank

Skills

University graduate with at least 8 years of working experience in the banking industry with exposure to debt and equity capital markets.Working experience in Compliance or with regulators is an advantage

• Good product knowledge and know-how of corporate finance business and products
• Knowledge of banking rules and regulations and familiarity with the global banking practices and regulatory environment is an advantage
• Strong communication (both verbal and written) and interpersonal skills with the ability to build a good relationship with different business and infrastructure departments and at various levels of seniority
• Organized and quick learner with sound judgment
• Ability to work independently and with a strong sense of teamwork across all levels, functions and geographical locations
• Supervisory experience is an advantage.

Average Salary: HK$1,500,000