Compliance - Business Compliance Officer - up to VP

Details of the Division and Team:    

Japan Fixed Income consist of includes a full suite of products and businesses including High Touch, DMA in Listed Derivatives and Flow Rates, Structured Products FX and Global Credit Trading, Non-Performing Loan Portfolio business in Debt, with Sales Teams also based in Japan covering these areas. The business covers market counterparties, financial institutions and unlisted corporate clients.

The FIC Business Line Compliance Team provides guidance to these business areas on specific matters, identifies potential risks, and acts as a check and challenge function to ensure adequate controls within the Business area. The Team currently consists of 2 people, following transfer of the Team Head to Head of Compliance role. This role is for a Business Line VP to provide this guidance from a local perspective and to ensure the right level of subject matter expertise and decision making across a major business area and source of most regulatory attention in Japan. The VP to report into the FIC Japan Compliance Head, and be based on the Trading Floor full time to ensure proactive engagement with all Fixed Income Business lines.

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 company
• Annual health checkup – cost borne by company (once a year; conditions apply)
• Flexible Work Arrangements – various ways to work, to fit employees’ needs
• Child care and elderly care benefits – corporate discount through designated child care & elderly care vendors
• EAP – free and confidential counseling, online work-life resources
• Employee networks – Diversity, volunteering, sports, family care - various activities to participate
• Special leaves entitlement

Your key responsibilities:

• Provide sufficient subject matter expertise in the Fixed Income area, and listed derivatives
• Provide impact with the Business, and supporting the FIC Compliance Team to ensure effective check and challenge with the Business on applicable laws, regulations, and Compliance owned risks in relation to the Fixed Income Compliance area
• Work with the FIC Compliance Team and Business to identify and mitigate horizon risks before materializing into significant issues
• Work closely with other Compliance Teams, identify risks and ensure that risks and issues are identified and mitigated at an early stage
• Work with FIC Compliance Team Members to ensure that Compliance Training is effective, new regulatory requirements are identified and embedded in the 1st Line, regulatory inspections and contact with the regulators and inspectors is proactive and effective
• Liaise with regional and global counterparts to ensure regional and global requirements are consistently implemented and ensure awareness of local issues that may have a regional / global impact

Your skills and experience:

• Fixed Income and/or listed product knowledge that can be shared with team members
• Understanding and application FIEL and JSDA regulations relevant to Fixed Income and/or listed products area
• 5+ years work experience in financial industry as a Compliance officer
• Strong problem solving analytical skills, including ability to interpret Japan FIC related regulations
• Strong communication skills (verbal and written) to face the Business and other Internal stakeholders to ensure Compliance impact is instilled
• Native Japanese and Business level in English (both written and verbal)
• Able to work effectively as a team member, with the other 2 members of the team and other Compliance teams
• JSDA Internal Control Manager Exam expected, other securities firm qualifications also preferred

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.