Apply on Employer Site

Deutsche Bank · 3 months ago

Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading – FIC Macro Compliance - Vice President

New York, 1 Columbus Circle

Full-time

Hybrid

Mid, Senior Level

$125K/yr - $203K/yr

Deutsche Bank is a global investment bank and financial services company, and they are seeking a Compliance Officer for their Fixed Income and Currencies Macro Sales & Trading businesses. The role involves providing business compliance coverage, focusing on Foreign Exchange, and supporting various desks by advising on trading activities, performing risk assessments, and responding to regulatory inquiries.

BankingFinanceFinancial Services

Responsibilities

Provide real-time advisory services to the Fixed Income & Currencies (FIC) Sales & Trading businesses, with a particular focus on FX

Advise business areas on Firm policies and procedures and applicable 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

Identify regulatory trends and developments that impact business areas, and advise staff as to how this may impact their current activities

Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections, Support the compliance monitoring program

Conduct risk assessments to ensure effective business control frameworks

Qualification

Compliance experienceFX business knowledgeUS derivative trading regulationsRegulatory inquiries responseRisk assessmentsAction-orientedCommunication skillsPresentation skillsCollaboration skills

Required

Bachelor's degree or equivalent; JD or MBA a plus

Compliance experience with markets coverage, but at a minimum experience in advising for FX or Interest Rates business activity

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

Provide real-time advisory services to the Fixed Income & Currencies (FIC) Sales & Trading businesses, with a particular focus on FX

Advise business areas on Firm policies and procedures and applicable 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

Identify regulatory trends and developments that impact business areas, and advise staff as to how this may impact their current activities

Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections, Support the compliance monitoring program

Conduct risk assessments to ensure effective business control frameworks

Preferred

Relevant experience providing compliance or legal coverage to FIC desk at a broker/dealer working on or providing trade/sales support to such a desk

Functional knowledge of: US derivative trading regulatory framework (Commodity Futures Trading Commission (CFTC)/NFA and Securities and Exchange Commission (SEC) SBSD rules and regulations); Financial Industry Regulatory Authority (FINRA) and SEC broker dealer regulations; industry standards (e.g., FX Global Code, FMSB Standards); relevant US Bank regulations

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