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Deutsche Bank is a tech-driven provider of financial services, offering corporate, investment, private, retail, and asset management products on a global scale.
Job Title: Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading
Corporate Title: Vice President
Location: New York, NY
You will focus on providing real-time support to the Fixed Income & Currencies (FIC) Sales & Trading business. Focusing on credit, rates, securitized products, foreign exchange, and emerging markets debt. This will involve advising on issues (questions, problems, or proposals) related to the sales and trading activities, surveillance and monitoring of controls, supervision, and other issues that are typical for a large global investment bank.
What We Offer You:
- We offer competitive health and wellness benefits, empowering you to value life in and out of the office
- Retirement savings plans, parental leave, and other family-friendly programs
- An environment that encourages networking and collaboration across functions and businesses
- Active engagement with the local community through Deutsche Bank’s specialized employee groups
Return to Office:
At this time, all individuals present in the location must be fully vaccinated for Covid-19
- It is the Bank’s expectation that employees hired into this role will work in the New York office in accordance with the Bank’s hybrid working model
- Deutsche Bank provides reasonable accommodations to candidates and employees with a substantiated need based on disability and/or religion
Hear from our people and look inside our office: DB@The Muse
Your Key Responsibilities:
- Provide real-time advisory services to the FIC Sales & Trading businesses
- Identify regulatory trends and developments that impact business areas and advise staff as to how this may impact their current activities; advise business areas on firm policies and procedures and applicable securities laws and regulations, as well as draft, update, and implement relevant policies and procedures
- Provide regulatory/compliance training
- Assist the Business in implementing and documenting various supervisory/control mechanisms
- Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections; interact with federal and state regulators
- Support the global Compliance Monitoring Program by providing input on the framework documents and completing verification checks as outlined in the annual monitoring plan; perform testing and monitoring of compliance with firm policies and conduct risk assessments of the Business to ensure effective business control framework
Your Skills and Experience:
- Bachelor’s degree or equivalent; JD or MBA a plus
- Moderate securities experience, preferably in a global investment bank or law firm. Similar experience with a regulator will also be considered
- Familiarity with Fixed Income (including Foreign Exchange (FX), Credit and Rates) products; relevant experience providing compliance or legal coverage to a sales or trading desk at a broker/dealer working on or providing trade/sales support to such a desk
- Functional knowledge of the US fixed income and derivative trading regulatory framework, the ’33 Act and the ’34 Act, Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), broker dealer regulations, and other relevant bank regulations
- Knowledge of SEC and FINRA laws, rules, and regulations as well as industry best practice
How You’ll Lead:
- Excellent oral and written communication skills
- Ability to make, support, and defend difficult and complex regulatory/compliance decisions in a fast-paced and high-pressured environment
- Ability to project confidence and professionalism in dealings with senior business personnel
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.
Click here to find out more about our diversity and inclusion policy and initiatives.
We are an Equal Opportunity Employer – Veterans/Disabled and other protected categories. Click these links to view the following notices: EEO is the Law poster and supplement; Employee Rights and Responsibilities under the Family and Medical Leave Act; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision.