Compliance Advisory Manager
Deutsche Bank
London, United Kingdom
5d ago

Job Title : Compliance Advisory Manager

Corporate Title : Vice President

Division : Regulation, Compliance and Anti-Financial Crime

Overview :

You will be a member of the Global Markets ("GM") Equities Compliance team which covers Global Equity Trading, Global Equity Derivatives & Convertibles and Global Prime Finance ("GPF") and will be involved in Compliance coverage for all of these businesses but with a primary Compliance coverage responsibility for Listed Derivatives & Clearing ("LD&C") and Agency Securities Lending ("ASL") in GPF in London.

Key Responsibilities :

  • Providing advice to LD&C and ASL staff regarding applicable laws, rules, regulations and Deutsche Bank policies and procedures on a timely basis
  • Advising the business on the establishment, improvement and documentation of their controls
  • Reviewing and opining on new business initiatives and transactions
  • Escalating transactions and issues to management where appropriate
  • Drafting and reviewing policies and procedures resulting from regulatory developments
  • Evaluating training needs and drafting and delivering appropriate face to face training in conjunction with the training department.
  • Identifying weaknesses and risks and developing new policies and procedures resulting from developments in LD&C and ASL markets.
  • Keeping LD&C and ASL appraised of, and assisting with the implementation of applicable forthcoming regulatory developments.
  • Managing regulatory inspections and investigations as determined.
  • Conducting internal reviews and assessments of the business as directed.
  • Conducting internal or disciplinary investigations as directed.
  • Skills & Qualifications :

  • An understanding of securities, corporate and contract law with an up-to-date knowledge of the rules of at least one of the main lead regulators (e.
  • FCA, PRA, BaFin or SEC)

  • In depth operational knowledge (trading through to trade confirmation) of relevant products (equities, structured transactions, equity derivatives, etc)
  • The ability to interpret, understand and advise an appropriate course of action on a broad range of legal and regulatory provisions
  • A clear understanding of the compliance and legal issues impacting major investment banks
  • An ability to work with compliance colleagues in other locations
  • An ability to work independently with minimum direction, as well as work as part of a team
  • Deutsche Bank is an equal opportunity employer who seeks to recruit and appoint the best available person for a job regardless of marital / civil partnership status, sex (including pregnancy), age, religion, belief, race, nationality and ethnic or national origin, colour, sexual orientation or disability.

    Please let us know if you require any adjustments to enable you to apply or attend an interview.

    If you would like to discuss your requirements, or have any concerns about the application process, please contact your recruiter.

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