Employee Compliance UKI – Senior Managers Regime and Conduct Rules

Deutsche Bank; City Of London; Hybrid; GBP 80,000 - 100,000; Full time

Job summary

A leading global investment bank is seeking an Assistant Vice President for their Employee Compliance team in London. The role involves coordinating regulatory processes, ensuring compliance with regulatory requirements, and providing support for various Compliance projects. The ideal candidate should have experience in Regulatory Licensing and a strong collaborative spirit. The position offers a hybrid working model and competitive benefits, including extensive leave and healthcare options.

Benefits

Competitive salary

Hybrid Working Model

30 days’ holiday plus bank holidays

Life Assurance and Private Healthcare

Flexible benefits including Retail Discounts

Qualifications

• Previous experience in a Regulatory Licensing role is desirable.
• Delivery focused and self-driven individual.
• Ability to share information and knowledge effectively.

Responsibilities

• Process and coordinate application and notification processes with FCA and/or PRA.
• Conduct annual assessment of Fitness and Propriety of SMFs.
• Prepare submission of Conduct Rule breach reporting.
• Lead Employee Compliance project work related to SMR and Conduct Rules.
• Ensure timely completion of UK Management Information.

Skills

Regulatory Licensing experience

Compliance experience

Collaboration

Integrity

Job description

Job Title: Employee Compliance UKI – Senior Managers Regime and Conduct Rules

Location: Birmingham

Corporate Title: Assistant Vice President

The Senior Managers Regime (SMR) forms part of the broader Senior Managers and Certification Regime (SMCR), implemented through Deutsche Bank’s UK Licensing and Registrations function within the UKI Employee Compliance team. You will be a key part of Employee Licensing team based in London playing a key role in delivering regulatory excellence. You will report to the London-based SMR and Conduct Rules Lead.

What we’ll offer you

A healthy, engaged and well-supported workforce are 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 centre.

You can expect:

• Hybrid Working - we understand that employee expectations and preferences are changing. We have implemented a Hybrid Working Model that enables eligible employees to work remotely for a part of their working time and reach a working pattern that works for them
• 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

Your key responsibilities

• 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. You will be required to share knowledge and provide best practice and guidance regarding the regime to foster a focus on process and performance accuracy, compliance and efficiency.

Your skills and experience

• 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.

How we’ll support you

• Training and development to help you excel in your career
• Coaching and support from experts in your team
• A range of flexible benefits that you can tailor to suit your needs
• We value diversity and as an equal opportunities’ employer, we make reasonable adjustments for those with a disability such as the provision of assistive equipment if required (e.g. screen readers, assistive hearing devices, adapted keyboards)

We are an equal opportunities employer and welcome applications from all people. 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.

We are committed to providing a positive, fair and inclusive work environment and promoting diversity and inclusion in the workplace.