Compliance Officer – Investment Bank Compliance – Origination & Advisory – Capital Markets - Assistant Vice President

Job Description:

Job Title Compliance Officer – Investment Bank Compliance – Origination & Advisory – Capital Markets

Corporate Title Assistant Vice President

Location New York, NY

Overview

Professional will focus on providing real-time support to the Origination & Advisory business which focuses on investment banking advisory engagements and capital markets products and services, including origination, structuring, execution and syndication of securities offerings. This will involve advising on issues (questions, problems or proposals) related to confidential information and information barriers, communications with the public-side of the Firm and external public-side investors, underwriting, marketing and selling securities offerings, internal 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, and that provides generous vacation, personal and volunteer days

• Employee Resource Groups that 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 Firm’s investment banking 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, 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

Skills You’ll Need

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

• Experience in the securities industry, preferably in a global investment bank or with a regulator

Skills That Will Help You Excel

• Experience in providing legal, regulatory or compliance advice in connection with investment banking transactions or equity trading is preferred

• Functional knowledge of Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), broker dealer regulations and other relevant bank regulations; knowledge of Regulation M, SEC 10b-18 and 10b5-1 as well as industry best practices

• 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.

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 $100,000.00 to $142,250.00. 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 recog