Regulatory Business Advisory Senior Analyst

hace 2 semanas

Madrid, España Deutsche Bank A tiempo completo

**Regulatory Business Advisory Senior Analyst**:
**Job ID**:R0325079**Full/Part-Time**:Full-time**Regular/Temporary**:Regular**Listed**:2024-04-23**Location**:Madrid**Position Overview**:
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:

- 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
- acquiring a deep knowledge and understanding of European and local applicable regulation, as well as DB procedural & control framework

**Key Responsibilities**

The Compliance Regulatory Management Specialist will assume full responsibility in:

- The end-to-end process of the management of Regulatory Interactions with Supervisory Authorities (SA), with the aim of ensuring a timely and consistent compliance with such interactions and the expectations of the SA, as well as the regulation and DB Group and DB SAE policies and procedures and eventual Regulators’ recommendations, findings & requests, while at the same time coordinates and advises the Business Lines Compliance and the Business itself, to ensure a timely and compliant response to such interactions.
- The Regulatory Watch (“radar”) function, reviewing the enactment of legislation and providing monthly updates and analysis of applicability and actionability of all regulation enacted in the previous month, as well as ad-hoc specific relevant legislation enactment analysis upon request.
- The coordination of regulatory MI for relevant Committees/Councils and drafting content related to Regulatory Interactions in the periodical MI Global and Local Reports to relevant Committees/Councils, as well as ad-hoc escalations to Global Teams

The workflow of the regulatory interactions with SA could be summarized as follows with 3 different processes, each of them with its corresponding sequential stages and management:

- Management of the SA Interaction: any interaction (written communication, face to face meeting, conference call) with the SA and registration and management of such interaction, usually starting with the reception of the written communication sent by Regulator and response from DB SAE or an eventual Final Conclusion Letter received by the Supervisory Authority.
- GFMS Tool Management : registration and maintenance in GFMS tool of relevant SA Interactions and eventual Regulatory Findings with appropriate follow-up and escalation. This process starts with the capturing in GFMS of the regulatory Audit, if applicable, and continues with proper follow up until closure of the finding, after implementation of remediation actions.
- Reporting /Escalation: the Compliance Regulatory Management Team will produce ad-hoc reportings and escalate, as appropriate, to relevant stakeholders, upon receipt of the written SA Interaction or relevant meeting/ telephone call with a SA.

Additionally, the Regulatory Management Specialist will also have additional duties related to:

- Advice and Assistance the business in understanding the rules, laws and regulatory requirements, as a result of the Regulatory Watch, with the provision of specific “Regulatory Notes” upon request
- Regulatory adherence: Provide ongoing support to the business for an adequate implementation of new laws and regulations, including the provision of impact assessment.
- Product Governance and NPA’s completion
- 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.

**You will have**
- A university degree or other closely related professional qualification.
- At least 4 years of experience in Legal, Compliance or Control Functions in financial institutions.
- A firm understanding and deep knowledge of the financial industry legislation (specially Capital Markets related), as well as rules, laws and regulatory requirements regarding all banking products and services.
- Good knowledge of banking products and services, with a focus on Capital Markets products.
- Good understanding of Compliance risks and internal controls.
- Analytical ski

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