Cao - Compliance Officer - Avp

CAO - Compliance Officer - AVP

**Compliance Function**

To ensure effective Compliance risk management, the 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.

**Your Role**
You are responsible for providing regulatory advice to relevant business and/or infrastructure functions. You support the specific business/infrastructure area in accordance with respective processes and evaluates the adequacy and effectiveness of internal controls relating to risks within those areas. You focus on all non-financial risk categories of the stakeholders and have a deep knowledge of their coverage areas.

**Your Key Responsibilities**
- Support senior management and employees of Deutsche Bank in understanding and managing
ii) general compliance with the relevant laws, rules, regulations, directives and DB Group standards across the activities and business operating model of the assigned country, that fall under the Compliance risk types iii) the prevention and escalation of issues, incidents and breaches relating to Compliance iv) the implementation of processes and procedures regarding abuse of assets, systems, information or procedures, for example those involving Confidential Information and Price Sensitive Information (PSI)
v) cross-border compliance related matters.
- Ensure implementation and maintenance of adequate policies and procedures with clarity of accountability and ownership across the first and second lines of defence; ensure such documents support the local country 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 the relevant Deutsche Bank Country Operating Committee, branch Compliance Committee, where necessary, Regulatory Authorities (SAMA) on Compliance matters
- Undertake and be actively involved in proactive and reactive management and escalation of all Compliance 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 compliance support to, relevant projects ensuring adherence to related standards, mitigation of associated risks and strong stakeholder consideration particularly focussed on the client or customer.
- Liaise with Compliance senior management within DB Group to ensure appropriate reporting and escalation of issues and/or incidents.
- Provide compliance advice regarding development of new products in line with appropriate processes and procedures; ensure clear demarcation of such advice from that of other control functions.
- Support a compliance aware culture within the assigned country, including regular and appropriate local education, training and awareness by leveraging related global initiatives.
- Participate in local and global Compliance projects instigated by Deutsche Bank Group.
- Act as a direct contact point for Deutsche Bank country staff to confidentially raise concerns in relation to compliance matters or when improper or illegal activities are suspected (e.g. conflicts of interest, money laundering, market abuse etc.)
- Provide local and regional support to the Regional and Global Compliance management teams, as and when required.
- Act as a contact point for SAMA, represent DB Riyadh in various of regulatory committees along with other banks in Saudi Arabia.

**Your Skills and Qualifications**
- Fluent in written and spoken English
- Between 2 and 3 years work experience
- Experience working as Compliance Officer in a local or international financial institution or within a Regulatory Authority - desirable but not essential
- Familiar with Compliance related laws and regulations,
- Good personality, comfortable with challenging anyone about any action in an appropriate and balanced manner
- Able to handle stressful situations with internal clients and regulators whilst maintaining a professional approach to problem solving
- Capable of building up good connections with local legal, regulatory and public authorities
- Able to work in a matrix structure
- Adopts a hands-on and proactive approach
- Able to partner with Compliance peers and other advisory, risk and control functions
- Able to partner with senior management, both within the assigned Deutsche Bank country and within the Deutsche Bank Group
- Possesses and demonstrates integrity and discretion

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