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Compliance Officer

Deutsche Bank AG
Closing date
3 Aug 2021

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Job Details

As a leading global bank with roots in Germany, we're driving change and innovation in the industry - championing integrity, sustainable performance and innovation with our clients, and redefining our culture and relationships with each other. With operations in over 70 countries, we encourage our people to think for themselves and reward integrity. Our large but focused footprint gives us a strong position in Europe plus a significant presence in the Americas and Asia Pacific. We offer clients commercial and investment banking, retail banking and transaction banking as well as ground-breaking asset and wealth management products and services. So if you're talented, collaborative and curious about building an exciting career in finance, you're exactly the type of person who might succeed in our organisation.


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.

Key Responsibilities:

Advising and supporting the Capital Release Group (CRG) UK based businesses on applicable laws, regulations, including the development of responses to, and implementation of, new regulations.
Providing advice on application of rules and policies to specific transactions/deals and general business activities based on an understanding of business strategies and product portfolios
Building and maintaining open relationships with the business lines, regulatory authorities and exchanges.
Managing or assisting in the timely resolution of exchange, regulatory or internal investigations and enquiries
Participating in regular assessments of the compliance risks relating to the coverage businesses, the related controls the businesses have in place or should develop and the Compliance controls which have been, or need to be, implemented
Participating in the assessment of the adequacy of the policy and procedures framework governing the relevant London-based businesses and assisting the business in establishing their policies and procedures and Key Operating Procedures (KOPs) to avoid regulatory and reputational risk
Escalating all material issues to Team Lead, regional/global Compliance management and senior business management
Delivering face-to-face Compliance training (over and above any global computer-based training) to the businesses requested/required in line with regulatory requirements and annual training objectives.
Participating in the New Product Approval process by reviewing new business initiatives for consistency with regulatory requirements and providing advice to the business on achieving compliance.
Reviewing marketing materials
Maintaining ongoing familiarity with business products and keeping updated of relevant industry compliance issues and solutions
Understanding the Business Line Compliance strategy and delivering the message appropriately to the coverage business.

Skills & Qualifications:

An understanding and up-to-date working knowledge of European financial services regulation, including Market Abuse Regulation (MAR), Markets in Financial Instruments Directive (MiFID) II and the Financial Conduct Authority (FCA) Handbook
In depth knowledge of relevant fixed income products
The ability to interpret, understand and advise all levels of seniority in the business of an appropriate course of action on a broad range of legal and regulatory provisions
An excellent communicator both verbal and written
The ability to communicate with other members of the team, as well as other infrastructure functions and the business (including senior management)
Experience of private side compliance advisory (not essential)
A self-starter with an ability to work independently with minimum direction and ability to show and demonstrate initiative
Able to interpret, understand, advise upon and formulate an appropriate course of action on a broad range of regulatory provisions
Able to analyse regulatory and reputational risk and where necessary escalate matters to the appropriate management level

Our values define the working environment we strive to create - diverse, supportive and welcoming of different views. We embrace a culture reflecting a variety of perspectives, insights and backgrounds to drive innovation. We build talented and diverse teams to drive business results and encourage our people to develop to their full potential. Talk to us about flexible work arrangements and other initiatives we offer.

We promote good working relationships and encourage high standards of conduct and work performance. We welcome applications from talented people from all cultures, countries, races, genders, sexual orientations, disabilities, beliefs and generations and are committed to providing a working environment free from harassment, discrimination and retaliation.

Please visit to find out more about diversity and inclusion at Deutsche Bank

Please note that for the duration of this assignment you will be working as an external resource engaged by Resource Solutions based on site at Deutsche Bank
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