C&AFC - Country Compliance Officer – AVP/VP

Deutsche Bank

  • 서울시
  • 정규직
  • 풀타임
  • 10일 전
Job Description:Details of the Division and Team:Compliance, as a 2nd Line of Defence seek to protect the licenses of Deutsche Bank (“DB”) 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 and driving a culture of compliance and ethical conduct in the Bank. Compliance and AFC also seeks to provide independent, proactive and forward-looking challenge and advice to senior managers as well as all employees.The AVP/VP is responsible for Compliance and AFC Advisory to ensure that all relevant policies, procedures, systems and controls are implemented effectively, all relevant legal, regulatory and DB Group requirements are met and any Compliance and AFC risks are appropriately addressed and mitigated.In discharging the role, the VP/AVP is expected to:Support senior management in managing the relationship with regulatorsLiaise closely with the Compliance team and AFC team in the region to facilitate all regulatory matters (including inquiries, survey, offsite/onsite reviews, etc) in adhering to local regulations/ laws.Facilitate any consultation on new regulations/ risk topics with local regulators, in coordination with the country management.Facilitate and coordinate country policies and advise on Regulations in way that is consistent with the local regulations.Facilitate all licensing related matters at bank level or individual employees licensing (where applicable).Promote the Bank’s risk culture.Perform relevant Compliance and AFC risk assessments.Provide relevant guidance per Compliance and AFC global policies and procedures to ensure franchise requirements.Conduct monitoring, checking, and surveillance where relevant.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:Corporate Group Insurance – premium borne by companyMedical Checkup – cost borne by company (annual/ biannual basis subject to the employee’s preference)Remote working arrangement called “Future of Work”EAP – free and confidential counseling, online work-life resourcesYour key responsibilities:GENERAL RESPONSIBILITIESThe AVP/VP, Compliance will assist the Country Head of Compliance to:Identify, assess, advise, monitor and report on the regulatory and compliance risks for the assigned Deutsche Bank Seoul branch(“the Bank”)Manage the Bank’s regulatory and compliance risks, and develop and maintain an appropriate internal control frameworkProtect Deutsche Bank against Compliance risks which may include client detriment, regulatory sanctions, financial loss and reputational damageAdvise staff across the Bank on ethical conduct, and external regulatory challengesManage South Korea regulatory relationships ensuring appropriate support and escalation partner with the business in understanding and managing related risks and controls.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 take a leading role in driving a culture of compliance and ethical conduct in the Bank.The AVP/VP, Compliance will assist Country Anti-Financial Crime Officer (AFCO), who is responsible for the AML, CTF, Sanctions & Embargo, AFI(Anti-Fraud & Investigations, ABC(Anti-Bribery & Corruption) to:Ensure that all relevant AFC policies, procedures, systems and controls are implemented effectively, all AFC-relevant legal, regulatory and DB Group requirements are met and any AFC-related risks are appropriately addressed and mitigated.Identify, assess, advise, monitor, control and report on the AFC laws, rules and standards relevant to the DB activities in their respective jurisdictionCORE DUTIES & RESPONSIBILITIESAdvise the Business and Infrastructure teams about Compliance-related mattersReview and update to the Business and Infrastructure teams.
- Update laws and regulations
- Review policies and procedures
- Terms and Conditions
- Other related mattersMonitor and test compliance with laws, rules, regulations, and internal controls in accordance with agreed policies and methodologies.Training for internal employees at regular or ad-hoc basisOther duties & responsibilities
- Handling of outsourcing matters and dbTPRM(‘DB 3rd party risk management tool’) as well as regulatory reporting process
- Handling of gift and entertainment process
- Regulatory risk assessment
- Relationship with local regulators, including assistance during the regulatory audit and inspection
- Coordinating regulators’ requests at regular or ad-hoc basisAFC related matters
- Handling Name List Screening/Sanction & Embargo Screening related clearance as secondary back up of AML dedicated manager in his/her absence
- Handling KYC related matters, including Assessment on escalated matters from KYC team as secondary back up
- Approves KYC files (New Client, Periodic Review, Event Driven Review etc.) as secondary back up
- Handling suspicious transaction inquiries from Government bodies (or agency) and reporting suspicious transaction to regulators as secondary back up
- AML data reporting (Monthly or regular basis) to regional team as secondary back up
- AML regulatory update(Cube)Your skills and experience:At least 8-10 years’ of industry experience, ideally in similar senior position with extensive experience in Compliance or AFC, or a control related functions within an international organization or bank in the Financial Services Industry.Strong regulatory knowledge.Knowledge of banking products and services - especially in Investment Banking, Commercial Banking, and Foreign Exchange.A strong track record in the risk and regulatory matters, ideally including solid understanding of Compliance and AFC.Strong analytical and problem-solving skills.Able to motivate employees and a team player.Strong risk management skills, with good knowledge of local regulations and laws.Performance oriented.Excellent interpersonal and communication skillsGood command of English, both spoken and written.Resilience to manage internal as well as external audits.How we’ll support you:Flexible working to assist you balance your personal prioritiesCoaching and support from experts in your teamA culture of continuous learning to aid progressionA range of flexible benefits that you can tailor to suit your needsTraining and development to help you excel in your careerAbout us and our teams:Deutsche Bank is the leading German bank with strong European roots and a global network. to see what we do.Deutsche Bank & DiversityWe strive for a 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.

Deutsche Bank