SENIOR BUSINESS ADVISOR - COMPLIANCE

Job Description.
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.
encouraging deep knowledge of applicable European and Spanish regulation; 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.
Key Responsibilities The scope of the role will be focused on the investment products and services (including high- complex products) distributed to retail and professional clients, including natural persons, and small and medium-sized companies.
And the overall mission of this role will be.
Advice and Assistance to the business in understanding the rules, laws and regulatory requirements regarding investment products and services (including the distribution of structured products, collective investment schemes, OTC derivatives, etc.
under the investment advice and discretionary management services), within the supervision of the CNMV; and providing adequate regulatory training to the staff.
Regulatory adherence.
Provide ongoing support to the business for an adequate implementation of new laws and regulations, including the provision of impact assessment.
Monitoring.
Design, implement and execute Monitoring controls, based on the annual monitoring plan, and report results to relevant Spain corporate bodies as well as to regional Compliance functions.
Customer Complaints Root Cause Analysis.
Assess customer complaints with positive resolution for the clients to identify potential root causes, and to recommend action plans to address them.
Risk assessments.
Conduct regular Compliance risk assessments, considering an array of contextual data including regulation, policies, procedures, controls, training and governance structures, escalating and assisting in the remediation of identified gaps.
Product Governance.
Provide support to the business with the required processes and controls for the application of rules and policies to specific transactions/deals and general business activities based on an understanding of business strategies and product portfolios in the context of the New Product Approval processes.
Contribute to the operation of select controls by reviewing new business initiatives.
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 of the rules, laws, regulatory requirements and guidelines regarding MiFID investment products and services, and ancillary services.
(MiFID, CNMV, ESMA) Experience in the application of relevant Compliance related regulation and guidelines.
Good knowledge of investment products and services for private individuals and small and medium-sized companies.
Experience on assessing the design and operating effectiveness of Compliance frameworks.
Good understanding of Compliance risks and internal controls.
Analytical skills with a strong attention to detail.
Excellent writing skills, including the ability to describe complex issues clearly and succinctly in ways that are easily understandable by others.
Communication and negotiation skills, both written and verbal, with an ability to communicate effectively across all three lines of defence and technical team members.
An ability to align multiple stakeholders towards a common goal.
Language skills.
fluent in English and Spanish.
You will be Structured and organised in approach, demonstrating a high level of diligence and attention to detail – ability to ensure high quality and consistency in the deliverables produced.
Results orientated and able to work independently and accurately in a fast-paced environment within tight deadlines.
Proactive – will seek to find the right solution and options to issues within and outside their specific remit, without being prompted and within an appropriate matrix management framework.
Assertive and engaging and able to quickly build and maintain effective working relationships.
Positive, collaborative and flexible and able to operate successfully in a constantly changing environment.
Deutsche Bank is an equal opportunity employer who seeks to recruit and appoint the best available person for a job regardless of marital / civil partnership status, sex (including pregnancy), age, religion, belief, race, nationality and ethnic or national origin, colour, sexual orientation or disability.
Please let us know if you require any adjustments to enable you to apply or attend an interview.
If you would like to discuss your requirements, or have any concerns about the application process, please contact your recruiter.
Our values define the working environment we strive to create – diverse, supportive and welcoming of different views.
We embrace a culture reflecting a variety of perspectives, insights and backgrounds to drive innovation.
We build talented and diverse teams to drive business results and encourage our people to develop to their full potential.
Talk to us about flexible work arrangements and other initiatives we offer.
We promote good working relationships and encourage high standards of conduct and work performance.
We welcome applications from talented people from all cultures, countries, races, genders, sexual orientations, disabilities, beliefs and generations and are committed to providing a working environment free from harassment, discrimination and retaliation.
Visit Inside Deutsche Bank to discover more about the culture of Deutsche Bank including Diversity, Equity & Inclusion, Leadership, Learning, Future of Work and more besides.
Deutsche Bank provides commercial and investment banking, retail banking, transaction banking and asset and wealth management products and services to corporations, governments, institutional investors, small and medium-sized businesses, and private individuals.
Deutsche Bank is Germany’s leading bank, with a strong position in Europe and a significant presence in the Americas and Asia Pacific.