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Employee Compliance UKI - Senior Manager and Conduct Rules SME (AVP)

Deutsche Bank
Closing date
23 May 2022

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Contract Type
Full Time
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Job Description:
Job title: Employee Compliance UKI- Senior Manager and Conduct Rules SME

Location: Birmingham

Corporate Title: Assistant Vice President

The Senior Managers Regime (SMR) forms part of the broader Senior Managers and Certification Regime (SMCR), which is implemented through Deutsche Bank's UK Licensing and Registrations function within Employee Compliance. Based in Birmingham and reporting directly to the SMR and Conduct Rules SME, you will be a key part of Employee Licensing team play a key role in delivering Regulatory excellence.

Your key responsibilities
  • Processing and coordination of all aspects of the application and registration process with the FCA ( Financial Conduct Authority) and/or PRA ( Prudential Regulation Authority) of our most senior personnel (Senior Management Functions), across all of Deutsche Bank's UK six regulated entities
  • Facilitating communication between functional teams across Compliance, HR, other Infrastructure areas and the wider Business. You will be required to share knowledge and best practice and to foster a focus on process and performance accuracy, compliance and efficiency
  • Preparing the annual submission of Conduct Rule Breach reporting for the FCA
  • Working with the regional Employee Licensing Lead for UKI, as well as with the London based Global Employee Compliance change team, local Compliance Officers, business staff, IT and other infrastructure functions on the build out of new processes and ensuring, as appropriate, consistency in policies, procedures and controls
  • Drafting responses to and/or collating and reviewing responses from the business when responding to information requests from regulators as well as to regulatory changes

Your skills and experiences
  • Very strong compliance experience at a Regulator, Exchange, Central Bank or large, regulated financial institution in an international setting, with a strong background in Employee Compliance matters
  • Strong knowledge of securities and banking laws, rules and regulations, especially those relevant to employee conduct and management of potential conflicts of interest
  • Experience developing and implementing team strategy whilst working within the wider Compliance and Bank strategies
  • A pro-active, results-oriented approach with strong drive and initiative
  • Manage a growing team, cultivating a strong culture within the team inkeeping with Deutsche Bank's values and beliefs. Ensuring that there is emphasis on open communication, stakeholder engagement, appropriate escalation supported by ongoing training and education

What we'll offer you

A healthy, engaged and well-supported workforce are better equipped to do their best work and, more importantly, enjoy their lives inside and outside the workplace. That's why we are committed to providing an environment with your development and wellbeing at its centre.

You can expect:
  • Competitive salary and non-contributory pension
  • 30 days' holiday plus bank holidays, with the option to purchase additional days
  • Life Assurance and Private Healthcare for you and your family
  • A range of flexible benefits including Retail Discounts, a Bike4Work scheme and Gym benefits
  • The opportunity to support a wide-ranging CSR programme + 2 days' volunteering leave per year

How we'll support you
  • Training and development to help you excel in your career
  • Flexible working to assist you balance your personal priorities
  • A culture of continuous learning to aid progression

About us and our Teams

Deutsche Bank is the leading German bank with strong European roots and a global network. Click here to see what we do.

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.

Click here to find out more about our diversity and inclusion policy and initiatives.
  • Location: Birmingham 5 Brindley Place
  • Type: Full time
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