Compliance - Surveillance, Regulatory Control Advisor - Assistant Vice President Compliance - Surveillance, Regulatory Control  …

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 - Surveillance, Regulatory Control Advisor - Assistant Vice President
Position Overview

Details of the Division and Team:

Compliance Surveillance is a core function within the Compliance Department, that carries out routine monitoring of trading activity and communications (electronic and voice) for managing and mitigating specific relevant risks that are applicable to the relevant business units, for which Compliance is the second line of defense risk owner. Compliance Surveillance is primarily focused on the Bank's interaction in the securities/financial markets and rules or codes in respect of inappropriate conduct and activities, such as various types of market manipulation like; ramping the market, spoofing and other kinds of manipulation, insider trading and collusive behavior.

The surveillance analyst role will mainly focus on identifying market abuse issues occurring in both the Fixed Income and Foreign Exchange product space. The analyst will utilize alerts generated via our trade, ecomms and voice platforms to meet this mandate. The candidate will be required to work and collaborate with other team members across the region and globally.

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 well-being 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, well-being incentives
  • The opportunity to support a wide ranging CSR program plus take volunteering leave days

Your key responsibilities:
  • Focus on Trade Surveillance for APAC markets covering Fixed Income and FX products, including Spot FX benchmark monitoring (Actimize)
  • Communication Surveillance for APAC markets (electronic communications including Bloomberg, Email & Instant Messaging) related to Fixed Income and FX products
  • Participate in Communication and Trade Surveillance projects and UAT (user acceptance testing) for Fixed Income and FX products
  • Voice Surveillance monitoring (NICE recording)
  • Review and investigate Surveillance escalations with peers and leads; Quality Assurance of Communication and Trade Surveillance, and documentation; Produce MI Reports for the department as well as working on any ad-hoc Communication and Trade Surveillance tasks.

Your skills and experience:
  • Degree holder with experience in banking with Fixed Income and FX background
  • Experience in Surveillance and Compliance as well as knowledge of applicable securities rules advantageous along with project and testing experience
  • Compliance and Regulatory awareness
  • Strong attention to detail, analytical skills and sound judgement, and be able to multitask and work on multiple projects
  • Ability to assimilate large amounts of data and have the focus to identify potential issues

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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