Cao - Head of Compliance & Anti-financial Crime

6 days ago

Riyadh, Saudi Arabia Deutsche Bank Full time

CAO - Head of Compliance & Anti-Financial Crime - Vice President

**Compliance and Anti-Financial Crime**

As 2nd Line of Defense (LOD) functions, Compliance and AFC seek to protect the licenses of Deutsche Bank 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.

For effective Compliance risk management, Deutsche Bank and its management must ensure the presence of a Compliance Department that is independent; adequately resourced (quantity and quality), both in human and technological terms; able to freely access senior management and the governing bodies; able to access any necessary corporate resource and information; and be able to escalate issues as necessary.

Deutsche Bank is committed to the highest standards of Anti-Money Laundering (AML), Sanctions & Embargoes, Anti-Bribery and Corruption (ABC) and Anti-Fraud & Investigations (AF&I) and wider Financial Crime (collectively referred to as Anti Financial Crime) prevention. The Management and all employees are required to adhere to these standards to prevent DB and our reputation from those who may intend to use our products and services for money laundering, bribery, corruption, fraud and/or Terrorist Financing (TF) purposes.

**Your Role**

The Head of Compliance and AFC DB AG Riyadh Branch is responsible for the Compliance Advisory activities and the AFC activities (Anti-Money Laundering and Counter Terrorism Financing, Sanctions & Embargoes, Anti-Fraud, Bribery & Corruption (AFB&C)) in the branch. He / She is responsible 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-related risks are appropriately addressed and mitigated.

The Head of Compliance and AFC DB AG Riyadh Branch is also responsible for the identification, assessment, advice on, monitoring, control and reporting on the applicable laws, rules and standards relevant to the DB activities in Saudi Arabia. He / She is the direct point of contact for DB staff in Compliance and AFC matters in DB Riyadh Branch.

**Your Key Responsibilities**
- Support senior management and employees of Deutsche Bank in understanding and managing:

- general compliance with the relevant laws, rules, regulations, directives and DB Group standards
- the prevention and escalation of issues, incidents and breaches relating to Compliance and AFC
- the implementation of processes and procedures regarding abuse of assets, systems, information or procedures
- cross-border compliance related matters.
- Act as main point of contact for the main regulator of the DB Riyadh Branch (SAMA) and foster a transparent and collaborative relationship with the regulator.
- Ensure implementation and maintenance of adequate policies and procedures with clarity of accountability and ownership across the first and second lines of defense; ensure such documents support DB Riyadh Branch specific requirements, local management and staff in complying with all related legal and regulatory obligations, relevant Deutsche Bank Group standards as well as best practices and integrity standards applicable to their activities.
- Report regularly to governance functions (e.g. committees) and, where necessary, Regulatory Authorities on Compliance and AFC matters, amongst others, indicating whether:

- any significant risk exposures and material incidents of non-compliance have been identified
- appropriate measures have been taken to address any gaps or deficiencies
- the Compliance frameworks (structure and processes) are adequate, effective and in line with legal, regulatory and Deutsche Bank Group requirements.
- Undertake and be actively involved in proactive and reactive management and escalation of all Compliance and AFC risks, issues and breaches, for example, conducting risk assessments.
- Monitor and test compliance with laws, rules, regulations and internal controls in accordance with agreed policy and methodology; report and manage any findings or issues, and support management in their identification of appropriate remedial action plans.
- Participate in, and provide support to, relevant projects ensuring adherence to related standards, mitigation of associated risks and strong stakeholder consideration particularly focused on the client or customer.
- Liaise with Compliance and AFC senior management within DB Group to ensure appropriate reporting and escalation of issues and/or incidents.
- Support a compliance aware culture, including regular and appropriate local education, training and awareness by leveragin

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