Swap Dealer and Security-Based Swap Dealer Compliance - Vice President

Job Description:

Job Title Swap Dealer and Security-Based Swap Dealer Compliance

Corporate Title Vice President

Location New York

Overview

As a Swap Dealer and Security-Based Swap Dealer Compliance Vice President, you will have the opportunity to work in a fast paced, rule-driven, second line of defense function, partnering with multiple business and functional stakeholders throughout Deutsche Bank to ensure reasonably designed compliance frameworks for our SD and SBSD rules. There will be an opportunity to learn and grow in the other space that is covered by the team as well. You are a team player, who is willing to learn from team members and pitch in to help when needed. You have experience working directly with regulators and senior executives and you appreciate the importance of managing multiple stakeholders’ interests – you’ve done that before. Your general knowledge of swap dealer and security-based swap dealer rules will assist in your interactions with other stakeholders to effectively progress efforts, Your self-discipline and attention to detail will ensure you are able to build your brand as a trusted partner and offer the ability to work independently on your goals, Your subject matter expertise and your curiosity to learn more will ensure that you will thrive among a team of high achievers. You will be part of a team with members from a wide range of academic and professional backgrounds, such as operations, law, etc. We look for those who possess sounds judgement, curiosity, and are able to adapt to a changing regulatory landscape, Join us, and you’ll grow and achieve in a high functioning, supportive, and highly visible team.

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

• Coordinate ongoing improvements of Deutsche Bank’s Swap Dealer and Security-Based Swap Dealer Manuals and policies

• Work with internal and external stakeholders on the ongoing development of first line of defense controls and surveillance needed for the swap dealer and security-based swap dealer rules

• Partner with the Business Line Compliance Officers, Supervision and Control teams, Chief Operating Officer (COOs), and supervisors to support and enhance day-to-day regulatory advice to the business, infrastructure, and support functions

• Prepare ad-hoc analysis, reports, memos, or other related documentation related to the internal program, laws, rules, regulations, guidance or best practices and present to senior executives, external stakeholders (including regulators), and large internal audiences

• Participate fully in the overall missions of the global Compliance & Anti-Financial Crime division, including preparation of relevant rules-based risk assessments, assistance in any relevant regulatory examinations or inquiries, internal or external audits, compliance testing, and surveillance queries as related to the business areas in scope for these rules

How You’ll Lead

• You are not a direct manager of people; however, you demonstrate leadership by listening to stakeholders, asking relevant questions, identifying issues, and leveraging your credibility and relationships to achieve a collaborative and compliant solution to all issues you encounter

• You will have the opportunity to be a leader to junior members of the team by sharing your expertise, developing challenge projects for junior team members, and assisting in their development as a mentor or role model

• You are prepared to speak with senior management to represent your views in a coherent, clear, accurate, fact-based, and thorough manner so as to help drive top-down compliance solutions

Skills You’ll Need

• Advanced experience in and knowledge of Commodity Futures Trading Commission (CFTC), Securities and Exchange Commission (SEC), and NFA swap dealer and security-based swap dealer regulations preferably in a Compliance or Legal Advisory role advising businesses directly

• A bachelor’s degree or equivalent work experience; JD/MBA preferred, but not required

• Demonstrated understanding of the business, particularly with the focus on