- developing and maintaining an open and transparent dialogue with regulators;
- providing timely, risk-based guidance, support and challenge to internal stakeholders;
- identifying, assessing, mitigating, monitoring and reporting on Compliance risks;
- attracting, developing and retaining professionals who work together to deliver superior performance.
- Monitoring: Design, implement and execute Monitoring controls, based on the annual monitoring plan, and report results to relevant Spain corporate bodies as well as to regional Compliance functions.
- Customer Complaints Root Cause Analysis: Assess customer complaints with positive resolution for the clients to identify potential root causes, and to recommend action plans to address them.
- Risk assessments: Conduct regular Compliance risk assessments, considering an array of contextual data including regulation, policies, procedures, controls, training and governance structures, escalating and assisting in the remediation of identified gaps.
- Regulatory adherence: Provide ongoing support to the business for an adequate implementation of new laws and regulations, including the provision of impact assessment.
- NPA: Provide support to the business with the required processes and controls for the application of rules and policies to specific transactions/deals and general business activities based on an understanding of business strategies and product portfolios in the context of NPA processes. Contribute to the operation of select controls by reviewing new business initiatives.
- Code of Conduct and related policies: Ensure that DB Group Code of Conduct as well as related policies and procedures are reviewed and updated on a timely basis, incorporating regulatory changes and industry best practice.
- External/ internal reviews and investigations: Provide support to the business, other relevant control functions and the regulatory management function with the execution of ad-hoc and key Compliance project work, and the timely resolution of regulatory or internal investigations and enquiries.
- A university degree or other closely related professional qualification.
- At least 4 years of experience in Compliance or Control Functions in financial institutions, including Level 1 control function.
- Experience on assessing the design and operating effectiveness of Compliance frameworks. Good understanding of Compliance risks and internal controls.
- Good understanding and application of relevant Compliance regulation and legislation.
- Good knowledge of financial markets business environment and products, with a focus on banking products and services for retail and private banking clients, as well as mutual funds management activities.
- Analytical skills with a strong attention to detail.
- Excellent writing skills, including the ability to describe complex issues clearly and succinctly in ways that are easily understandable by others.
- Communication and negotiation skills, both written and verbal, with an ability to communicate effectively across all three lines of defence and technical team members. An ability to align multiple stakeholders towards a common goal.
- Language skills: fluent in English and Spanish.
- Structured and organised in approach, demonstrating a high level of diligence and attention to detail – ability to ensure high quality and consistency in the deliverables produced.
- Results orientated and able to work independently and accurately in a fast-paced environment within tight deadlines.
- Proactive – will seek to find the right solution and options to issues within and outside their specific remit, without being prompted and within an appropriate matrix management framework.
- Assertive and engaging and able to quickly build and maintain effective working relationships.
- Positive, collaborative and flexible and able to operate successfully in a constantly changing environment.
Senior Business Advisor - Madrid, España - 0743 Deutsche Bank, Sociedad Anónima Española Unipersonal
Descripción
Description
:Deutsche Bank (DB) is committed to the highest standards of control in the area of Compliance. The Management and all employees are required to adhere to these standards to protect DB and our reputation. The Compliance Department promotes and enforces compliance with the law, drives a culture of compliance and ethical conduct in the Bank. We do this by:
Key Responsibilities
The overall mission of this role will be:
You will have
You will be
Deutsche Bank is an equal opportunity employer who seeks to recruit and appoint the best available person for a job regardless of marital / civil partnership status, sex (including pregnancy), age, religion, belief, race, nationality and ethnic or national origin, colour, sexual orientation or disability.
Please let us know if you require any adjustments to enable you to apply or attend an interview. If you would like to discuss your requirements, or have any concerns about the application process, please contact your recruiter.
Our values define the working environment we strive to create – diverse, supportive and welcoming of different views. We embrace a culture reflecting a variety of perspectives, insights and backgrounds to drive innovation. We build talented and diverse teams to drive business results and encourage our people to develop to their full potential. Talk to us about flexible work arrangements and other initiatives we offer.
We promote good working relationships and encourage high standards of conduct and work performance.