Employee Compliance – Senior Manager, Regime and Conduct Rules
Deutsche Bank
full-time
Posted on:
Location Type: Hybrid
Location: Birmingham • 🇬🇧 United Kingdom
Visit company websiteJob Level
Senior
About the role
- Processing and coordination of all aspects of the application and notification processes with the FCA and/or PRA for our most senior personnel (Senior Management Functions - SMF), across all of Deutsche Bank’s UK regulated entities.
- Undertaking the annual assessment of Fitness and Propriety of SMFs to ensure continued fitness of individuals, in line with regulatory requirements, and reporting the output to relevant entity boards/committees.
- Preparing the submission of Conduct Rule breach reporting for the FCA and/or PRA.
- Leading and/or providing support in implementing SMR and Conduct Rules-specific and wider Employee Compliance project work.
- Ensuring timely and accurate completion of UK Management Information and Key Performance Indicators across the SMR and Conduct Rules.
- Stakeholder management between functional teams across Compliance, HR, other Infrastructure areas and the wider Business.
Requirements
- Previous experience in a Regulatory Licensing role (desirable) or demonstratable Compliance experience.
- Delivery focused, forward thinking and self-driven.
- Strong desire to collaborate and achieve best practise.
- Act as a trusted advisor by those with whom you partner.
- Able to share information, knowledge and expertise with peers and team members.
- Demonstrate integrity, trust and fairness in all that you do.
Benefits
- Hybrid Working - we understand that employee expectations and preferences are changing.
- Competitive salary and non-contributory pension
- 30 days’ holiday plus bank holidays, with the option to purchase additional days
- Life Assurance and Private Healthcare for you and your family
- A range of flexible benefits including Retail Discounts, a Bike4Work scheme and Gym benefits.
- The opportunity to support a wide ranging CSR programme + 2 days’ volunteering leave per year
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Soft skills
delivery focusedself-drivencollaborativetrusted advisorknowledge sharingintegritytrustfairness