C&Afc – Investment Banking and Capital Markets Compliance - VP

Details of the Division and Team:    

The Compliance Department seeks to protect the Bank’s licenses to operate by promoting and enforcing adherence with laws, regulations, rules, expectations of regulators, the standards of self-regulatory organizations, and codes of conduct / ethics in connection with the Bank’s regulated activities. Compliance also takes a leading role in driving a culture of compliance and ethical conduct in the Bank. 

The Investment Banking and Capital Markets Compliance APAC (‘IBCM’) has, as its primary role, responsibility for supporting the whole IBCM in APAC including Hong Kong, China, Singapore, South East Asia countries, Japan and India and operations to comply with applicable rules, regulations, guidelines and industry best practices. Joining IBCM Compliance APAC offers candidates an opportunity to work on capital markets and advisory transactions while developing a comprehensive understanding of Deutsche Bank’s global and regional IBCM business. Hong Kong is the hub for IBCM in APAC, the IBCM Compliance APAC in HK is the central team who works very closely with IBCM APAC to build and maintain control mechanisms and design and drive the implementation of the processes and procedures for the whole IBCM APAC in order to ensure consistency globally and regionally.

As a Vice President (‘VP’) in the IBCM Compliance APAC team, you will act as a trusted advisor to IBCM APAC businesses.  You are expected to work independently, involve in regulatory assessments, drive strategic compliance initiatives, and provide expert opinion on complex transactions and regulation related matters.

We are looking to hire a candidate with previous financial services industry experience based in Hong Kong to assist with Asia Pacific IBCM compliance coverage. The candidate should be a self-starter with excellent communication skills who enjoy interacting with business and other stakeholders in a fast-paced environment.

What we will offer you:         

A healthy, engaged and well-supported workforce is 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:

• Independently provide compliance and regulatory advice to IBCM on transactions, new product approvals, and day-to-day matters, general matters on a daily basis and escalating critical issues to senior regional Head of IBCM APAC & MEA.
• Involve in the evaluation of compliance with relevant rules and regulations, proactively identify emerging risks, assess the impact of regulatory change, and drive the design and implementation of control mechanisms to protect the reputation of the Bank.
• Take ownership of assessing businesses process, new initiatives and new product and/or transaction approvals from a regulatory perspective.  Involve in the design and implementation of policies, procedures, and controls in response to changes to regulatory changes and Bank’s policies. 
• Partner with Compliance senior management and the business heads to manage potential compliance and reputational risks, providing strategic guidance and challenge where needed.
• Represent Compliance in key internal meetings and working groups related to IBCM, acting as a senior voice on regulatory implications
• Involve in compliance review and monitoring of businesses activities and controls, independently document findings, breaches and weaknesses, and drive e remediation actions, if any, to completion.
• Coordinate and collaborate with regional and global Compliance teams, Legal and Business Management and Control Teams, acting as a liaison person for cross-functional initiatives. 
• Champion a strong compliance culture within the IBCM business through regular engagement, targeted advisory, and delivery of compliance training
• Involve in regional and/or global initiatives and projects, as required.
• Act as the primary point of contact for regulatory enquiries, investigations and management of regulatory inspections related to IBCM, coordinating responses with internal departments and regulators.

Your skills and experience:

• Education: University graduate; professional compliance or legal qualifications (e.g. CAMS, CFA, LLM) are an advantage.
• Experience: Minimum 8 years of working experience in the banking industry with significant exposure to both Debt and Equity Capital Markets across Asia Pacific.  Deep knowledge and experience in a Business Line Compliance or at a regulatory body in ECM transaction, which is a fast-growing team, is strongly preferred.  Knowledge in Equities and Research is an advantage.
• Product & Business Knowledge: Deep, working knowledge of IBCM products and transactions, including IPOs, follow-on offerings, block trades, convertible bonds or private placements.  Ability to assess transaction structures from a regulatory and reputational standpoint
• Regulatory Expertise: Knowledge of banking rules and regulations (e.g. SFC Conduct of Conduct and global best practices).  Familiarity with cross-border practices and regulatory environment is an advantage.
• Soft Skills
• Excellent verbal and written communication skills, with the ability to influence different stakeholders and build trusted relationships across functions and geographies at various level of seniority
• Highly organised, quick learner, and possess sound and independent judgement.
• Proven ability to work autonomously with minimal supervision, while maintaining strong collaboration and teamwork across all levels
• Proven ability to leverage AI tools to enhance productivity, optimise workflows to solve business problems, while applying critical judgment to ensure responsible and ethical use of data and AI outputs.

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

We strive for a culture in which we are empowered to excel together every day. This includes acting responsibly, thinking commercially, taking initiative and working collaboratively.

Together we share and celebrate the successes of our people. Together we are Deutsche Bank Group.

We welcome applications from all people and promote a positive, fair and inclusive work environment.