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.
Requirements
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.
Benefits
Hybrid Working - we understand that employee expectations and preferences are changing.
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
Job title
Employee Compliance – Senior Manager, Regime and Conduct Rules
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