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Our Team: Bloomberg's Legal & Compliance Department plays a critical role in supporting our businesses and operations around the world. We move quickly and thoughtfully to help address a variety of complex issues that come with being the world's leading financial news and information company. Our team is made of up of talented and hardworking professionals who think creatively and work collaboratively in an open environment to deliver results, drive innovation, and solve difficult problems. We also recognize the value of diversity and inclusion and the importance of giving back to our communities as evidenced by our award-winning pro bono program. The Global Compliance team provides coverage of Bloomberg's regulated entities and products, including support for Bloomberg's non-regulated products and services. We work to address regulatory issues, ensure compliance with current/developing rules and regulations, and correspond with regulators. We are currently looking for an experienced person to work with our Global Compliance Practices team. What's The Role? As a Compliance Officer on our Compliance Practices team, you will work with Compliance colleagues, as well as key Legal, Risk, and Business partners, in delivering a Compliance Risk Management Program (Program) and contributing to key regulatory initiatives. The role focuses on leading and supporting the pillars of the Compliance Risk Management Program such as risk assessment, issue management, regulatory mapping, regulatory change management/horizon scanning and governance and reporting, which are key processes and tools used by our department to help businesses and departments thoughtfully incorporate risk into decision making. The role will also include leading or supporting strategic regulatory projects across multiple businesses, regions, and regulatory topics - which is a unique opportunity for broad exposure across the Company's businesses and regulatory-related controls. As part of risk management practices, you will identify and escalate top and emerging risks to senior management and to Compliance management. We'll Trust You To: Being a thought-leader and team player on the subject of Compliance Risk Management, by contributing to various Compliance Practices program pillars such as Risk Assessment, Issue Management, Governance and Reporting (including key metrics), Regulatory Program Management, etc.; Leading the global Regulatory Change Management pillar by enhancing the protocol for monitoring, tracking and related trigger events; Leading the EMEA Regulatory Mapping of various businesses and activities by overseeing and/or conducting the mapping of applicable regulatory obligations to risks, controls and policy documents for all the regulated entities in EMEA, and its subsequent maintenance; Leading specific regulatory projects/programs, for example change management efforts to comply with new regulations or regulatory-related control enhancements, as directed by the Global Head of Compliance Practices and the Company's Chief Compliance Officer, among others; Providing subject matter expertise and knowledge of relevant risk trends, monitor and analyze regulatory risks within our business units, applying good judgement when evaluating both the risk and controls framework and presenting directly to senior management; Partnering with our Risk and Compliance Shared Services (RCSS) team with other elements of the Compliance Risk Management Framework such as compliance policies, training, control testing and regulatory engagements; Working closely with business units to conduct an in-depth analysis of key processes, which may include documentation of process flows, policy & procedure review, and stakeholder interviews; Thoughtfully challenging the first line of defense on the identification and mitigation of risks, and the adequacy of controls; and Staying informed on risk industry and educational/development opportunities. You'll Need To Have: Minimum 10 years of experience with Compliance, Legal, and/or Risk Management; Substantial expertise in risk management frameworks and practices (e.g., COSO) and experience with project / program management; Understanding of regulatory risk management, internal controls, and root cause analysis; Knowledge of financial markets, instruments, and trading lifecycle; Strong verbal and written communication skills, with an ability to present complex subject matter in a concise and straightforward way; Ability to work in a dynamic environment, building and maintaining a network of contacts, and coordinating with several partners across our company to influence and drive the Compliance Risk Management program forward; Self-starter, with the ability to work independently with minimal guidance and to deliver work within agreed timelines; Enthusiastic, self-motivated, and effective under pressure; The ability to work creatively and efficiently, to assist with building a program that's deeply practical, risk-focused, and conscious of business and control partners' needs; Strong team player skills in order to guide organizational change and collaborate with key partners across various levels; and Strong analytical and problem-solving skills to act decisively and independently to resolve sophisticated issues. Please note we use years of experience as a guide but we certainly will consider applications from all candidates who are able to demonstrate the skills necessary for the role. We'd love to see: A passion about all things Risk and are genuine excitement about helping to build a best-in-class program. Does this sound like you? Apply if you think we're a good match. We'll get in touch to let you know what the next steps are. Bloomberg is committed to diversity. It drives our innovation. At Bloomberg, you'll have the opportunity to go above and beyond and to take risks. You'll be a part of an organisation that is entering new markets, launching new ventures, and pushing boundaries. Our ever-expanding array of technology, data, news, and media services champions innovation and empowers clients -- and offers nearly limitless opportunities for career growth. Bloomberg is an equal opportunity employer and we value diversity at our company. We do not discriminate on the basis of age, ancestry, colour, gender identity or expression, genetic predisposition or carrier status, marital status, national or ethnic origin, race, religion or belief, sex, sexual orientation, sexual and other reproductive health decisions, parental or caring status, physical or mental disability, pregnancy or parental lea
Job Description: Job Title Fixed Income Markets Compliance Officer Location London Corporate Title AVP You will be a member of the Business Line Compliance (BLC) team providing support to the Fixed Income Business Division. The Compliance Department seeks to protect the Bank's licenses to operate by promoting and enforcing adherence with laws, regulations, rules, expectations of regulators, the standards of self-regulatory organizations, and codes of conduct / ethics in connect with the Bank's regulated activities, and driving a culture of compliance and ethical conduct in the Bank. Compliance also aims to provide independent, proactive and forward-looking challenge and advice to Senior Managers as well as all employees. 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. You can expect: Hybrid Working - we understand that employee expectations and preferences are changing. We have implemented a Hybrid Working Model 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 Supporting the global Compliance Monitoring Programme (CMP). This includes executing the monitoring activities in-line with the CMP schedule. Supporting the BLC team in provision of advice on the application of rules and policies to specific transactions and general business activities based on an understanding of business strategies and product portfolios Assisting in the timely resolution and escalation of exchange, regulatory or internal investigations and enquiries Supporting the BLC team and assisting the team in regular assessments of the business, products and transactions in relation to the Compliance controlled risks, the corresponding business controls as well as any relevant Compliance owned controls Assisting in assessing the adequacy of the policy and procedures framework governing the relevant London-based businesses and assist the business in establishing their policies and procedures and Key Operating Procedures Delivering certain face-to-face Compliance training as required in line with regulatory requirements and annual training objectives Your skills and experience Excellent communication skills, both written and verbal with the ability to communicate with team members, other infrastructure functions and the front-office Self-starter with an ability to work independently with minimum direction and ability to show and demonstrate initiative An understanding and up-to-date working knowledge of UK and European financial services regulation, including MAR, MiFID II and the FCA Handbook How we'll support you Training and development to help you excel in your career 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 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) About us Deutsche Bank is the leading German bank with strong European roots and a global network. Click here to see what we do. Deutsche Bank in the UK is proud to have been named a Times Top 50 Employer for Gender Equality for three consecutive years. Additionally, we have been awarded a Silver Award from Stonewall for two years running and named in their Top 100 Employers for 2023 for our work supporting LGBTQ inclusion. 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.
Job Description: Job Title International Private Bank (IPB) Business Line Compliance Location London Corporate Title Assistant Vice President/Vice President IPB is part of the wider Private Bank (PB) division of Deutsche Bank. This position reports directly to the Head of IPB United Kingdom (UK) Compliance who reports into the Regional Head of UK Compliance as well as the Global Head of IPB Compliance. You will be involved in all aspects of Compliance work for IPB UK, including advice, advocacy, product/service review and approval, marketing and financial promotions review, training, surveillance and monitoring controls. 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 Hybrid Working Model that enables eligible employees to work remotely for a part of their working time and reach a working pattern that works for them. You can expect: 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 Representing Compliance to the business, providing appropriate advice and impact analysis with regard to relevant regulations and Compliance related matters across all IPB UK business units Developing and delivering training (including induction training) to the IPB UK businesses on Compliance, regulatory and reputational risks related to products, cross-border activities, suitability, conflicts, client classification, trading, client services and other subjects relevant to Compliance risk management Representing Compliance in the New Product Approval Process which includes reviewing new products and business initiatives launched in the Bank for IPB UK use Undertaking assessments of the Compliance risks relating to the IPB businesses Assisting in designing and implementing Compliance Monitoring/Surveillance Controls for the IPB UK businesses and undertaking ad-hoc and key Compliance project work Your skills and experience A broad understanding of the wealth management industry, including key service offerings (wealth planning, investment advice, investment management, banking and lending) Wealth management product knowledge including regulated and unregulated collective investment schemes, equities, fixed income, derivatives and structured products Comprehensive knowledge of European and UK Regulations, including Financial Conduct Authority rules regarding retail distribution review, suitability, treating customers fairly Ability to build understanding and trust Strong teamwork, excellent communications skills, both written and verbal with presentation and influencing skills How we'll support you Training and development to help you excel in your career Flexible working to assist you balance your personal priorities 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) About us Deutsche Bank is the leading German bank with strong European roots and a global network. Click here to see what we do. Deutsche Bank in the UK is proud to have been named a Times Top 50 Employer for Gender Equality for three consecutive years. Additionally, we have been awarded a Silver Award from Stonewall for two years running and named in their Top 100 Employers for 2023 for our work supporting LGBTQ inclusion. 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.