C&AFC - Country Compliance Officer – AVP/VP

[GENERAL RESPONSIBILITIES] The AVP/VP, Compliance will assist the Country Head of Compliance to: • Identify, assess, advise, monitor and report on the regulatory and compliance risks for the assigned Deutsche Bank Seoul branch(“the Bank”) • Manage the Bank’s regulatory and compliance risks, and develop and maintain an appropriate internal control framework • Protect Deutsche Bank against Compliance risks which may include client detriment, regulatory sanctions, financial loss and reputational damage • Advise staff across the Bank on ethical conduct, and external regulatory challenges • Manage South Korea regulatory relationships ensuring appropriate support and escalation partner with the business in understanding and managing related risks and controls. • 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 connection with the Bank’s regulated activities. Compliance also take a leading role in driving a culture of compliance and ethical conduct in the Bank. The AVP/VP, Compliance will assist Country Anti-Financial Crime Officer (AFCO), who is responsible for the AML, CTF, Sanctions & Embargo, AFI(Anti-Fraud & Investigations, ABC(Anti-Bribery & Corruption) to: • Ensure that all relevant AFC policies, procedures, systems and controls are implemented effectively, all AFC-relevant legal, regulatory and DB Group requirements are met and any AFC-related risks are appropriately addressed and mitigated. • Identify, assess, advise, monitor, control and report on the AFC laws, rules and standards relevant to the DB activities in their respective jurisdiction [CORE DUTIES & RESPONSIBILITIES] • Advise the Business and Infrastructure teams about Compliance-related matters • Review and update to the Business and Infrastructure teams. - Update laws and regulations - Review policies and procedures - Terms and Conditions - Other related matters • Monitor and test compliance with laws, rules, regulations, and internal controls in accordance with agreed policies and methodologies. • Training for internal employees at regular or ad-hoc basis • Other duties & responsibilities - Handling of outsourcing matters and dbTPRM(‘DB 3rd party risk management tool’) as well as regulatory reporting process - Handling of gift and entertainment process - Regulatory risk assessment - Relationship with local regulators, including assistance during the regulatory audit and inspection - Coordinating regulators’ requests at regular or ad-hoc basis • AFC related matters - Handling Name List Screening/Sanction & Embargo Screening related clearance as secondary back up of AML dedicated manager in his/her absence - Handling KYC related matters, including Assessment on escalated matters from KYC team as secondary back up - Approves KYC files (New Client, Periodic Review, Event Driven Review etc.) as secondary back up - Handling suspicious transaction inquiries from Government bodies (or agency) and reporting suspicious transaction to regulators as secondary back up - AML data reporting (Monthly or regular basis) to regional team as secondary back up - AML regulatory update(Cube)

• At least 8-10 years’ of industry experience, ideally in similar senior position with extensive experience in Compliance or AFC, or a control related functions within an international organization or bank in the Financial Services Industry. • Strong regulatory knowledge. • Knowledge of banking products and services - especially in Investment Banking, Commercial Banking, and Foreign Exchange. • A strong track record in the risk and regulatory matters, ideally including solid understanding of Compliance and AFC. • Strong analytical and problem-solving skills. • Able to motivate employees and a team player. • Strong risk management skills, with good knowledge of local regulations and laws. • Performance oriented. • Excellent interpersonal and communication skills • Good command of English, both spoken and written. • Resilience to manage internal as well as external audits.

• For more details, please refer to the company website.