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Deutsche Bank · 3 days ago

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

New York, NY

Full-time

Hybrid

Mid, Senior Level

$125K/yr - $203K/yr

Deutsche Bank is a global investment bank seeking a Compliance Officer for their Fixed Income Sales & Trading division. The role involves providing real-time advisory services, ensuring compliance with regulations, and supporting the Credit business operations.

BankingFinanceFinancial Services

Responsibilities

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

Qualification

Compliance experienceUS fixed income regulationsRegulatory framework knowledgeJDMBAAction-orientedProfessionalismCommunication skills

Required

Bachelor's degree or equivalent

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

Preferred

JD or MBA a plus

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