Employee Compliance UKI – Senior Managers Regime and Conduct Rules

Deutsche Bank; Park Central; Hybrid; GBP 80,000 - 100,000; Full time

Job summary

A leading European bank is seeking an experienced candidate for the Employee Compliance UKI position. This role involves managing the Senior Managers Regime and ensuring compliance with regulatory requirements. The ideal applicant should have previous experience in regulatory licensing or compliance, be forward-thinking, and possess strong collaboration skills. The role is based in Birmingham and offers hybrid working options along with competitive benefits including 30 days’ holiday and private healthcare.

Benefits

Hybrid working options

Competitive salary

Private healthcare

30 days’ holiday plus bank holidays

Flexible benefits

Qualifications

• Previous experience in a Regulatory Licensing role is desirable.
• Forward thinking and self-driven individual.
• Ability to collaborate and achieve best practices.

Responsibilities

• Process applications and notifications with FCA and PRA for SMFs.
• Conduct Fitness and Propriety assessments of SMFs.
• Prepare Conduct Rule breach reports for FCA and PRA.
• Support Employee Compliance project work.
• Ensure timely completion of Management Information and KPIs.
• Manage stakeholder relationships across teams.

Skills

Regulatory Licensing experience

Compliance experience

Delivery focused

Strong collaboration skills

Integrity

Job description

Overview

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.

• Hybrid Working - we understand that employee expectations and preferences are changing. We have implemented a 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)

Please note the expected salary for some roles may be below the minimum level requirements to support candidates who require a Skilled Worker visa to work in the UK. Should you already have a Skilled Worker visa and are identified for a role, we can discuss and support you with the process.

About us

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Deutsche Bank in the UK is proud to have been named in for five consecutive years. Additionally, we have been awarded a Gold Award from Stonewall and named in their for our work supporting LGBTQ+ inclusion.

We strive for a in which we are empowered to excel together every day. This includes acting responsibly, thinking commercially, taking initiative and working collaboratively.

Together we share and celebrate the successes of our people. Together we are Deutsche Bank Group.

We welcome applications from all people and promote a positive, fair and inclusive work environment.