Compliance officer investment bank compliance sales trading credit - vice

Job Description:

Job Title Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading – Credit

Corporate Title Vice President

Location New York, NY

Overview

You will focus on providing real-time support to the FIC Sales & Trading business which focuses on credit, rates, securitized products, foreign exchange, and emerging markets debt. With primary focus on the Credit business, you will advise on issues (questions, problems, or proposals) related to Credit 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

• A diverse and inclusive environment that embraces change, innovation, and collaboration

• A hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer days

• Employee Resource Groups support an inclusive workplace for everyone and promote community engagement

• Competitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefits

• Educational resources, matching gift, and volunteer programs

What You’ll Do

• Provide real-time advisory services to the Credit business within Fixed Income & Currencies (FIC) Sales & Trading; 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; 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 the 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

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

Skills You’ll Need

• Bachelor’s degree or equivalent; JD or MBA a plus

• Compliance experience with markets coverage, but at a minimum experience in advising for Credit business activity

Skills That Will Help You Excel

• Relevant experience providing compliance or legal coverage to a sales or trading Credit 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 Fed, SEC, Commodity Futures Trading Commission (CFTC), MSRB, and FINRA laws, rules, and regulations as well as industry best practice

• Strong written and verbal communication and presentation skills, with the ability to effectively influence others and engage senior stakeholders and foster collaboration among Compliance, the Business and other infrastructure functions

• Action-oriented and delivery focused with a disciplined approach and an ability to be proactive, work under pressure, and within tight deadlines while maintaining accuracy, showing initiative, and reacting quickly to changes in priorities

• Ability to project confidence and professionalism in dealings with senior business personnel

Expectations

It is the Bank’s expectation that employees hired into this role will work in the New York, NY 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.

The salary range for this position in New York City is $125,000 to $203,000. Actual salaries may be based on a number of factors including, but not limited to, a candidate’s skill set, experience, education, work location and other qualifications. Posted salary ranges do not include incentive compensation or any other type of remuneration.

Deutsche Bank Benefits

At Deutsche Bank, we recognize that our benefit programs have a profound impact on our colleagues. That’s why we are focused on providing benefits and perks that enable our colleagues to live authenti­cally and be their whole selves, at every stage of life. We provide access to physical, emotional, and financial wellness benefits that allow our colleagues to stay financially secure and strike balance between work and home. Click here to learn more!

Learn more about your life at Deutsche Bank through the eyes of our current employees

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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.

Qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, protected veteran status or other characteristics protected by law. Click these links to view Deutsche Bank’s Equal Opportunity Policy Statement and the following notices: EEOC Know Your Rights ; Employee Rights and Responsibilities under the Family and Medical Leave Act ; and Employee Polygraph Protection Act .