Deutsche Bank AG
★★★★★ 2 Reviews
At Deutsche Bank, good compliance is everybody's responsibility. The Compliance department's core functions support good compliance practice to prevent and detect violations of all applicable laws, rules and principles that observe high standards of individual behaviour and business conduct.
Working closely with the business, compliance professionals ensure that our risk based programme is both globally effective and locally anchored to our key divisional businesses. As an independent and robust second level control function, the Compliance Department seeks to manage compliance risk and deepen the culture of compliance at Deutsche Bank through the development and management of strategies that are sustainable and increases the trust of our clients.
Job Title: Employee Compliance - Global Employee Conflicts & Change Analyst
Corporate Title: Assistant Vice President
You'll be joining Employee Compliance which provides effective advice and tools to enable Deutsche Bank Employees to observe the highest standards of individual behaviour and conduct to assess, monitor and report on Compliance risks posed by Employees associated with the following pillars: Employee Trading (Including Private Investment Transactions), Outside Business Interests, Licensing & Registrations and Employee Compliance Attestations.
* Supporting the Global Change function Subject Matter Experts (SME) in accordance with the four pillars of Employee Compliance
* Focusing around helping to manage the policy and process change needs of the department and will require an understanding of the mechanisms of the bank, as well as the overall conflicts policy suite
* Assisting the global team and regional teams in capturing and marshalling senior or more complex escalations, recording them in such a way as to feed into the management information and ongoing improvement mechanisms established by the SMEs
* Supporting and assisting to the SMEs in respect of formulating and driving the global change agenda for Employee Compliance
* Assisting the SMEs in collecting and writing the business requirements for Employee Compliance projects and in writing and supporting on other process and training documentation
* Global data request management (e.g. regulatory, Audit etc)
* Establishing, managing and maintaining the Global Co-Ordination Register
* Developing, tracking and following up on escalations and issues stemming from Employee Compliance to ensure timely response and action
* Administering quality control on escalations to ensure consistent approach globally
* Feeding into and assist with the management of the continuous improvement of policy and process across all pillars
* Feeding into the Management Information process established by the SMEs and co-ordinate responses and commentary from the Regional Heads
* Having organisational administration for Employee Compliance (team intranet administration, reference data changes oversight)
* Engaging with Compliance stakeholders throughout the organisation but in particular, Global Head of Employee Compliance, Global SMEs and Regional Heads of Employee Compliance
* Acting as a key governance member of the Employee Compliance team, working to implement the global Employee Compliance strategy
Skills and Qualifications:
* Educated to Bachelor's degree level or equivalent qualifications/ work experience
* CISI diploma preferable, ICA considered
* Self-starter with resilience, proactive initiative and a hands on approach
* Previous experience in Compliance in a similar or complimentary role at a large multi-national house, experience in conflict management or central compliance functions a plus
* Previous experience and/ or knowledge of COI / market abuse / reputational risk regulation
* Excellent organisational, interpersonal influencing and negotiation skills, independent thinker with strong analytical and problem solving skills
* Proven ability to multi task as well as assess and change priorities
* Adept in working with people at all levels in the organisation and with various backgrounds
* Advanced report writing, Microsoft Office (MS) Powerpoint and technical Excel skills, advanced Access would be beneficial
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.