C&AFC - Compliance Advisory Analyst - Deutsche Sekuritas Indonesia ("DSI") - AVP

C&AFC - Compliance Advisory Analyst - Deutsche Sekuritas Indonesia ("DSI") - AVP

Job Description:

Details of the Division and Team:
The Business Compliance Advisor is responsible for providing regulatory advice to relevant business and/or infrastructure areas and typically has regional coverage. The Business Compliance Advisor supports DSI management and 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. They focus on all non-financial risk categories of the stakeholders and have a deep knowledge of their coverage areas.

This role provides key support to Local compliance management also Regional Compliance covering Corporate Finance/O&A Business in engagement with regulators for both ad-hoc requests for information and more importantly during regulatory audits/inspections. DSI Compliance is mandatory as per OJK Regulation where the staff performing compliance and risk management is prohibited from performing other functions and must perform the role and responsibility independently. It is imperative that a replacement headcount is prioritized for Indonesia.

What we will offer you:

• Comprehensive Medical Insurance Coverage for Employee and Family
• Life Insurance Coverage
• Additional Pension Scheme (DPLK) on top of Statutory Contribution
• EAP - free and confidential counseling, online work-life resources
• Staff Loan including Housing Loan, Car Loan, and Personal Loan
• Hybrid work arrangement
• Comprehensive leave benefits
• Annual health checkup - cost borne by company (once a year; conditions apply)

Your key responsibilities:

1. Support DSI management and employees of DSI in understanding and managing:
   • the application of Deutsche Bank's ethical standards and professional principles
   • 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.
   • the prevention and escalation of issues, incidents and breaches relating to Compliance.
   • 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).
   • cross-border compliance related matters.
2. Ensure implementation and maintenance of adequate policies and procedures with clarity of accountability and ownership across the first and second lines of defence.
3. Report regularly to the relevant DSI management/board and shareholders (or equivalent local committee) and, where necessary, Regulatory Authorities on Compliance matters.
4. Undertake and be actively involved in proactive and reactive management and escalation of all Compliance risks, issues and breaches.
5. 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.
6. Participate in, and provide compliance support to, relevant projects ensuring adherence to related standards.
7. Liaise with Compliance senior management within DB Group to ensure appropriate reporting and escalation of issues and/or incidents.
8. Provide compliance advice regarding development of new activities in line with appropriate processes and procedures.
9. Support a compliance aware culture within the assigned country, including regular and appropriate local education, training and awareness.
10. Participate in local and global Compliance projects instigated by Deutsche Bank Group.
11. Act as a direct contact point for DSI country staff to confidentially raise concerns in relation to compliance matters.
12. Provide local and regional support to the Regional and Global Compliance management teams, as and when required.

Your skills and experience:

• Fluent in written and spoken English
• Significant experience working as Compliance Officer in a local or international financial institution or within a Regulatory Authority - desirable but not essential
• Advisable to have the necessary certification as per regulatory requirement to support the role (Compliance Certification/Underwriter Certification)
• Familiar with Compliance related laws and regulations especially related to securities company
• Excellent knowledge of banking and investment products preferred
• Good knowledge of regional Directives and Regulations that impact the cross-border marketing of products in the assigned country
• Project management skills for managing local Compliance projects - desirable but not essential
• Strong 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 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/support 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
• Has affinities with Audit or experience in risk management - desirable but not essential.

How we'll support you:

• Flexible working to assist you balance your personal priorities
• Coaching and support from experts in your team
• A culture of continuous learning to aid progression
• A range of flexible benefits that you can tailor to suit your needs
• Training and development to help you excel in your career

About us and our teams:
Deutsche Bank is the leading German bank with strong European roots and a global network.

Deutsche Bank & Diversity:
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.
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.