Compliance - Compliance Manager, Regulatory Compliance - Assistant Vice President Compliance - Compliance Manager, Regulatory  …

Deutsche Bank
in Sydney, New South Wales, Australia
Permanent, Full time
Last application, 10 Aug 20
Deutsche Bank
in Sydney, New South Wales, Australia
Permanent, Full time
Last application, 10 Aug 20
Compliance - Compliance Manager, Regulatory Compliance - Assistant Vice President
Position Overview

Details of the Division and Team:

Deutsche Bank in Australia includes the following business groups operating in reliance on an Australian banking license and six (6) Australian financial services licenses:
  • Corporate and Investment Banking (collectively Global Markets, Corporate Finance, Global Transaction Banking and Research)
  • DWS Asset Management.

Deutsche Bank Compliance looks to protect the Bank by:
  • Promoting, in partnership with the business, the Bank's values and beliefs and a culture of compliance
  • Advising on ethical conduct and identifying regulatory requirements and solutions; and
  • Safeguarding integrity and reputation.

Compliance does this by:
  • Establishing clear standards of behavior and policies to uphold them;
  • Addressing risks and devising mitigation strategies;
  • Advising and training staff so they observe the highest ethical standards and adhere to relevant laws and regulations, both in letter and in spirit;
  • Monitoring adherence to the rules, policies and standards of behavior; and
  • Maintaining open and constructive dialogue with regulators and law makers.

Whilst first and foremost an independent control function, Compliance focuses on supporting and advising the Bank's businesses to ensure their activity is carried out in a lawful and ethical way, in full compliance with its legal and regulatory obligations.

What we will 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 center.

You can expect:

  • Parental leave benefits including Childcare Assistance Payment
  • A range of flexible benefits including the Online discount program, employee referral program,
  • on-site yoga, a range of health and wellbeing initiatives
  • The opportunity to support a wide range of CSR programs plus take volunteer leave

Your key responsibilities:
  • You will be acting in accordance with Deutsche Bank's Code of Conduct and promoting the Bank's values and beliefs;
  • Providing timely guidance on all aspects of the regulatory environment (including developments in ASIC's guidance and APRA's standards) and industry best practice including adherence to regulatory obligations that impact the Bank and its related entities;
  • Acting as a regulatory contact point and in regulatory matters when necessary, to facilitate regulatory relationships and responses to regulatory enquiries and action;
  • Drafting and maintaining relevant Compliance policies and procedures, including those relating to licensing obligations and compliance with relevant APRA standards;
  • 5coordinating the completion of documentation to support the submission of ASIC and APRA notifications insofar as this relates to licensing and prudential matters, including the appointment and removal of accountable executives, responsible persons and managers and authorised representatives);
  • Collaborating with the business, other Infrastructure functions and compliance staff to maintain and develop an integrated compliance framework and supervisory arrangements;
  • Supporting Deutsche Bank's management and control by monitoring, considering and mitigating regulatory and reputational risk;
  • Providing assistance to the auditors (internal or external) in regards to APRA and ASIC related audits.
  • Providing compliance support (through a regulatory lens) to the New Product Approval process;
  • Monitoring training needs and prepare and deliver appropriate training content; and
  • Contributing to the Bank's positive culture and the Compliance and Anti-Financial Crime team dynamic.

Your skills and experience:
  • Tertiary qualification in commerce/law or related business discipline
  • Relevant post-graduate qualifications desirable; and demonstrable history of ongoing industry and professional development.
  • Minimum of 5 years' experience within a comparative or similar role - Compliance related experience in a similarly regulated corporation or regulatory body an advantage
  • Experience within an investment banking environment an advantage
  • Working knowledge of the key product areas (i.e. corporate finance, capital markets, asset management or transaction banking), including the relevant local and global regulatory framework desirable.
  • Working knowledge and experience with Corporations Act requirements and obligations (including relevant ASIC Regulatory Guidelines), as this relates to the provision of financial services by Australian financial services licensees;
  • Understanding of the prudential framework administered by APRA as this relates to foreign bank branches with authority to conduct a banking business in Australia;
  • Experience with or knowledge of businesses operated by a Global investment bank

How we'll support you:
  • Flexible working to assist you balance your personal priorities
  • Coaching and support from experts in your team
  • A culture of continuous learning to aid progression
  • A range of flexible benefits that you can tailor to suit your needs
  • Training and development to help you excel in your career

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.

Deutsche Bank & Diversity

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 diversity and inclusion at Deutsche Bank.