Compliance - Licensing & Registration - Vice President Compliance - Licensing & Registration - Vice  …

Deutsche Bank
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 12 Aug 20
Deutsche Bank
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 12 Aug 20
Compliance - Licensing & Registration - Vice President
Position Overview


Details of the Division and Team:

Licensing and Registration (L&R) team is responsible for the advising on and supporting the bank and its subsidiaries in complying with various regulatory rules governing Licensing and Registration requirements set out by the SFC and HKMA.

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:
  • Competitive Salary and non-contributory pension
  • 20 days annual leave plus generous number of public holidays
  • Life Assurance and Private Healthcare for you and your family
  • A range of flexible benefits including retail discounts, gym benefits, wellbeing incentives
  • The opportunity to support a wide ranging CSR program plus take volunteering leave days

Your key responsibilities:
  • Advising and handling of SFC and HKMA licensing matters including registration, de-registration, examination and CPT / CPD tracking; Advising on senior management accountability expectations set out by the regulators; Advising and supervising CE/ACE, s72B manager and MIC appointments, EO, RO and Principal requirements and applications.
  • Faceoff with senior stakeholders and advise on related matters; Point of contact with the regulators for any matters in relation to registration and licensing and overseeing regular reviews on licensing status of employees; Providing guidance to junior staff in the team.
  • Updating business and business line compliance on new/amended regulations relating to licensing/registration and working on compliance monitoring and review on ongoing licensing requirements of the firm and individual staff.
  • Reviewing Returns and forms filed to the HKMA/ SFC; Escalate necessary matters to compliance management and other stakeholders in a timely fashion. Providing record keeping of Swap Dealer AP Questionnaire and US Sec Rule 15a-6 forms for HK staff and informing the relevant Swap Dealer Compliance Berlin Team or US Compliance Team of any addition/deletion of such records.
  • Involvement in the annual recertification exercise of HK staff designated as Swap Dealer AP. May be required to provide support to the broader Employee Compliance team which covers personal account dealing, outside business interests and Compliance attestations.

Your skills and experience:
  • Degree holder with 7+ years' experience of managing Licensing and Registrations team in a large financial institution or with the regulators in Hong Kong
  • Subject matter expertise on SFC and HKMA Licensing and registration requirements with solid understanding of regulatory environment.
  • Experience in leading a small team is desirable
  • Able to deal with assertive individuals and hold challenging conversations, as well as ability to work without supervision and work on multiple projects.
  • English essential. Cantonese/Mandarin good to have. Good level of MS Office and Project management skills desirable are also desirable.

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.

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