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Deutsche Bank · 3 days ago

Compliance Officer, Whole Loans Trading and Securitization Compliance - Director

New York, 1 Columbus Circle

Full-time

Hybrid

Lead/Staff

$170K/yr - $280K/yr

Deutsche Bank is a leading global investment bank that provides a wide range of financial services. They are seeking a Compliance Officer for Whole Loans Trading and Securitization Compliance at the Director level to provide real-time support and advisory services while ensuring adherence to regulatory requirements and internal policies.

BankingFinanceFinancial Services

Responsibilities

Provide real-time advisory services to the Whole Loans Trading and Securitization Business, as well as other FIC 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 the Firm policies and procedures and applicable consumer lending and 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 the Firm policies and conduct risk assessments of the Business to ensure effective business control framework

Qualification

Consumer compliance experienceSECFINRA lawsBachelor’s degreeEquivalentJDMBAInfluence othersAction-orientedCommunication skillsWork under pressure

Required

Bachelor's degree or equivalent

Consumer compliance experience, including familiarity with consumer lending laws/rules/regulations (e.g., Federal consumer protection laws including but not limited to: Truth in Lending Act, Equal Credit Opportunity Act, Fair Housing Act, Home Mortgage Disclosure Act, and Gramm-Leach-Bliley Act)

Knowledge of applicable SEC and FINRA laws/rules/regulations as they relate to securitizations

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

Preferred

JD or MBA a plus

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 residential mortgage trading and securitization business

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