Compliance - Employee Compliance Associate

  • Competitive
  • Singapour, Singapore
  • CDI, Plein-temps
  • Deutsche Bank APAC
  • 19 nov. 17 2017-11-19

Compliance - Employee Compliance Associate



Regulation, Compliance & Anti-Financial Crime

Regulation, Compliance and Anti-Financial Crime (AFC) protects the integrity and reputation of Deutsche Bank. It manages the Bank's risks and help to avert unintentional rule breaches and conflicts of interest. At the same time, we also advise the bank on ethical conduct and governance issues and keep the bank up to date on regulatory and political challenges.

Position Overview

Overview:

Licensing & Registration (L&R) is part of Employee Compliance. Employee Compliance's core function is to provide effective advice and tools to enable employees to observe the highest standards of individual behaviour and conduct. Working closely with the business, Employee Compliance ensure that our risk based programme is both globally effective and locally anchored to our key divisional businesses. As a second level control function, the Employee Compliance Department seeks to advise and manage the compliance risks associated to the following areas:

  • Employee Trading (Including Private Investment Transactions)
  • Outside Business Interests
  • Licensing & Registrations; and
  • Global Attestations.

Role overview

The role would primarily involve running the Singapore registration and licensing programme for the bank which includes review of due diligence checks for the employees, submission of notifications to the Monetary Authority of Singapore (MAS). The role will include regular interaction with Singapore compliance management and other key stakeholders including employees in each business division and the MAS.

Roles and responsibilities:
  • Assist in handling the licensing and registration requirements for Singapore based employees to be registered with MAS and SGX.
  • Providing advice to Employees on examination requirements and regulated activities.
  • Timely submission of notifications for updating of personal particulars and notification of cessation for employees registered with the MAS.
  • Assist in the generation of accurate and periodic Management Information to highlight key developments, issues and challenges in administering the L&R framework in Singapore.
  • Perform annual and ongoing due diligence for regulated hires.
  • Coordinate with HR on completion of background checks and completion of due diligence checks for licensed hire.
  • Participate in global projects as and when required

Skills and qualification :
  • Preferably some prior industry experience in Compliance/audit (2-5 years)
  • Preferably some knowledge of Securities and Futures Act and the Financial Advisers Act
  • Strong attention to detail and accuracy
  • Strong organizational skills and ability to multitask
  • A positive and flexible approach required to operate in a constantly changing environment
  • Able to work both independently and as part of a global team
  • Excellent oral and written communication skills proven through report writing experience
  • Strong working knowledge of Microsoft Excel; Access, Word, PowerPoint


Deutsche Bank offers a challenging and rewarding career where your contribution is valued and rewarded. We have an inclusive and friendly working environment coupled with excellent facilities and benefits.

Deutsche Bank is an equal opportunity employer who seeks to recruit and appoint the best available person for a job regardless of marital status, sex (including pregnancy), age, religion, belief, race, nationality and ethnic or national origin, colour, sexual orientation or disability.