Deutsche Bank · 7 hours ago
Compliance Officer – Fixed Income Sales & Trading - Credit - Vice President
New York, NY
Full-time
Hybrid
Mid, Senior Level
$125K/yr - $203K/yrDeutsche Bank is a global investment bank seeking a Compliance Officer for their Fixed Income Sales & Trading business focused on credit. The role involves providing advisory services, ensuring compliance with regulations, and supporting the business in maintaining effective controls and procedures.
BankingFinanceFinancial Services
Responsibilities
Provide real-time advisory services to the Credit business within 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
Required
Bachelor's degree or equivalent; JD or MBA a plus
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
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, including Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission (SEC) broker dealer regulations and other relevant bank regulations; knowledge of FRB, SEC, CFTC, MSRB, and FINRA laws, rules, and regulations 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
Benefits
Competitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefits
Educational resources, matching gift, and volunteer programs
Company
Deutsche Bank
Deutsche Bank is an investment bank that offers financial products and services to corporate and institutional clients.
Founded in 1870
10001+ employees
Funding
Current Stage
Public CompanyTotal Funding
$2.07BKey Investors
European Investment BankCapital GroupCerberus Capital Management
2025-06-11Post Ipo Debt· $570.76M
2024-11-14Post Ipo Debt· $1.5B
2020-10-13Post Ipo Equity
Leadership Team
T
Tom Patrick
CEO, Americas
Benjamin Bauer
VP Strategy & Innovation
Recent News
2026-01-20
Company data provided by crunchbase