Deutsche Bank AG


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Compliance manager - listed derivatives, clearing & electronic

09 November England - Greater London, London Perm

Job title: Compliance Manager - Listed Derivatives, Clearing & Electronic Trading
Corporate title: Vice President
Division: Regulation, Compliance and Anti-Financial Crime
Location: London


You'll be a part of the Global Markets (GM) Compliance team which is responsible for supporting the GM business to comply with applicable rules, regulations, guidelines and industry best practices.

You'll primarily be covering Listed Derivatives and Markets Clearing, as well as assisting with the coverage of the Debt e-Trading and other Fixed Income and Currencies (FIC) businesses as required.

Key Responsibilities:

* Reviewing conflict escalations (e.g. issues identified by Control Room, Deal Logging and Conflict Clearing teams)
* Providing advice on GM projects and audits
* Providing transactional support, new transaction approval/new product approvals and guidance to the front office to ensure individual traders are compliant and adhering to guidelines
* Providing advice on application of rules and policies to specific transactions and general business activities based on an understanding of business strategies and product portfolios
* Advising on relevant business and Compliance procedures. Incorporating regulatory changes into advice
* Creating and implementing policies and procedures to promote compliance with legal and regulatory requirements within the Bank and to protect the reputation of the Bank
* Undertaking compliance risk assessments of the business and assessing and advising the business on relevant controls
* Advising the business on the implementation of key regulatory changes (together with other stakeholders)
* Monitoring the activities of the business covered in co-operation with other control functions of the Bank including desk and thematic reviews
* Assisting in providing appropriate training in co-operation with the Compliance Training Department
* Handling routine regulatory reviews and enquiries and communicating with exchanges and regulatory bodies
* Creating Management Information for Senior Compliance and Business Management

Skills & Qualifications:

* Detailed and up to date knowledge of European Union (EU) / United Kingdom (UK) regulations
* Knowledge of exchange traded derivatives and an interest or knowledge of electronic/algorithmic trading
* Experience in handling and managing a number of different projects simultaneously and the ability to pro-actively manage matters with the support of a Supervisor
* High energy and enthusiasm levels, hardworking with the ability to focus on and resolve issues in a timely fashion
* Self-starter in gaining knowledge and experience
* Ability to interpret, understand, advise upon and formulate an appropriate course of action on a broad range of regulatory provisions
* Ability to analyse regulatory and reputational risk and where necessary escalate matters to the appropriate management level

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

Please let us know if you require any adjustments to enable you to apply or attend an interview. If you would like to discuss your requirements, or have any concerns about the application process, please contact your recruiter.

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