Position Overview

Details of the Division and Team:

You are the member of Compliance Japan.

Compliance Department Japan performs a wide-ranging activity such as

providing advice in relation to the interpretation of compliance policies and local regulations to business including administration of the approval process to help enforce Chinese Wall and Fire Wall compliance and best conflicts of interest control,
trade surveillance of listed derivative trading including response to inquiries from supervisory authorities / Self Regulatory Organizations,
testing undertaken to confirm whether Business is following the rules and regulations applicable to an activity or practice and

holding discussion and negotiations with, and respond to inspections from supervisory authorities such Financial Services Agency and Securities and Exchange Surveillance Commission etc.

Compliance Department currently comprises Head of Compliance Japan and 18 other staffs, working in five core teams: Business Line Compliance Team (Research, Fixed Income, Origination & Advisory), Control Room, Central Compliance, Compliance Testing and Compliance Regulatory Team.

We are looking to recruit an officer to work as part of Control Room in Japan including Research Business Line Compliance matters.

Within the above, Control Room Japan is one of the key team where its main responsibilities lies to best ensure the Chinese Wall control and conflict of interest control are best complied firm wide via the activities as follows :

Watch List / Restricted List Management including PSI / Inside Information designation and surveillance
Wall Crossing Administration
Conflicts of Interest Control
Advisory related to Price Sensitive Information control
Industry and regulatory liaison related to information control

Also, Research Business Line Compliance is one of the key Business Line Compliance area to ensure that the Research Reports issued by the Research division are clear, fair and not misleading, independent and objective, and represent the genuinely held beliefs of the Research Analyst(s) preparing them along with safeguarding the integrity and independence of the Research division (including the conflicts of interest control between Research and other parts of DB).

Research Clearance
Advisory related to Research compliance issues
Communication monitoring to Research Analyst
Review Research analyst's interview memo Analyst and Japan Origination & Advisory Bankers

What we will offer you:

A healthy, engaged and well-supported workforce is 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 center.


You can expect:
Corporate Group Insurance – premium borne by company
Annual health checkup – cost borne by company (once a year; conditions apply)
Flexible Work Arrangements – various ways to work, to fit employees' needs
Child care and elderly care benefits – corporate discount through designated child care & elderly care vendors
EAP – free and confidential counseling, online work-life resources
Employee networks – Diversity, volunteering, sports, family care - various activities to participate
Special leaves entitlement


Your key responsibilities:
You will be a member of Control Room in Japan Compliance.

As team member of Control Room;

Enforce controls that are reasonably designed to prevent the misuse of Price Sensitive Information (PSI),
Act as a key advisor to business groups as well as other Compliance colleagues on issues regarding Information Barriers, wall crossing procedures, sensitive information and Need-to-Know policy,
Maintain Companies Restricted List and Watch List on a daily basis for the Japan region. Communicate with global Control Room counterparts in managing the Restricted and Watch List; and Conflict Management tool,
Working as part of a team, assist in analysing various pipelines from private-side businesses to determine which deals contain Price Sensitive Information,
Assist private-side businesses in determining the appropriate treatment of transactions; if a deal should be added / deleted from the Restricted and Watch List; applicable research restrictions, applicable trading or sales restrictions (if any),
Define restrictions applicable to sales, trading and/or research activities (if any),
Be part of a team responsible for maintenance of the Bank's Global Watch and Restricted Lists, including seeking and responding to updates from Origination & Advisory teams,
Reviewing potential client conflicts within the Bank, and liaising with the various businesses at times to resolve any real or perceived conflicts of interest,
Establishing written guidance on the appropriate implementation of regulatory requirements, laws, rules and standards through policies and procedures and other documents such as Compliance Policies and Procedures, Control Room Key Operating Procedures and other mediums,
Conduct training on various Compliance/regulatory topics and utilise various methods (e.g. team meetings; one-on-one; Annual Compliance Trainings) to educate the marketers, traders, research analysts and bankers,
Provide chaperoning between Origination & Advisory and Research whenever needed,
Track new industry initiatives and developments, and participate in meetings concerning implementation of any new requirements.

It is also expected for the candidate to report and co-work with Origination & Advisory Business Line Compliance Japan and Research Business Line Compliance Japan in the above main activities due to the fact that Control Room Japan also closely works with Origination & Advisory Business Line Compliance and Research Business Line Compliance.

Especially, the tasks related to Research Business Line Compliance are such as;

Research and respond to inquiries from Research Analyst who covers either Macro Economy or Japanese listed corporations Department along with the Research Compliance officer with real-time expertise and guidance (e.g. Equity Research, Economic Research, Fixed Income Research (Credit, FX, Rates)),
Review of visit / call memos by Research department,
Advise Research Department of regulatory requirements on a regular and a transaction-specific basis,

Assist a Research Management in establishing written guidance on the appropriate implementation of regulatory requirements, laws, rules and standards through policies and procedures and other documents such as Written Supervisory Procedures, Research key operating procedures and other mediums.

Your skills and experience:
A willingness and the ability to develop expertise in understanding of financial regulation such as Financial Instruments and Exchange Law, Rules from Japan Securities Dealers Association and other Control Room/Research Business Line Compliance and Corporate Finance Business Line Compliance related internal Global Policy and Procedures, and to do so quickly, seamlessly, and to a consistently high standard;
The ability to be flexible and move quickly developing one's capability towards different subject areas as opposed to limiting one's interest and actions to only one or two areas;
Strong analytical skills for delivering good and clear analysis of issues;

The ability to make efforts to create solutions and deliver, both verbal and written, a pragmatic outcome-focused judgments that take account of the business environment.

Committed to pursue responsibilities from the perspective of "fire prevention" as opposed to "fire fighting";
Be aggressive to confirm Business Staffs what is the purpose, why this product to this client;
Do not hesitate to ask questions to Business;
A mature character with team spirit without obsession of becoming a "fast tracker"; No worries, there are always considerate people with discerning eyes who appreciates and speaks for staffs who works without expecting credits;
Fluent in English and Japanese.


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. click here to see what we do.

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.
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