Assistant Vice President of Compliance Officer, Deutsche Bank

Investment Bank Compliance, Origination & Advisory, Capital Markets

$100-142.3k

Mid and Senior level

New York

Office located in Columbus Circle, NY

Investment bank and financial services company

Job no longer available

Investment bank and financial services company

1001+ employees

B2CB2BInvestingTradingFinancial Services

Job no longer available

$100-142.3k

Mid and Senior level

New York

Office located in Columbus Circle, NY

1001+ employees

B2CB2BInvestingTradingFinancial Services

Company mission

To be the leading global provider of financial solutions for demanding clients, creating exceptional value for its shareholders and people.

Job

Company

Role

Who you are

Bachelor’s degree or equivalent; JD or MBA a plus
Moderate securities experience, preferably in a global investment bank or law firm. Similar experience with a regulator will also be considered
Experience in providing legal, regulatory or compliance advice in connection with investment banking advisory engagements and transactions is essential
Functional knowledge of Financial Industry Regulatory Authority, 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

What the job involves

The Compliance Origination & Advisory division at Deutsche Bank is responsible for ensuring that the Business and/or infrastructure functions are compliant with the requirements of all stakeholders including regulatory authorities and overseeing the remediation of findings and accurate regulatory reporting
You will focus on providing real-time support to the Origination & Advisory Capital Markets 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
Provide real-time advisory services to the Capital Markets businesses (i.e., Economic Capital Market, Leverage Debt Capital Markets, Debt Capital Markets)
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

Our take

Despite its roots in the nineteenth century, Deutsche Bank has seen strategic transformation at countless stages to remain competitive. For example, it recently launched Vert, a new digital payments company for SMEs, in collaboration with Fiserv. As a result, the company successfully filled the gap in the market for a user-friendly, all in one solution which would enable merchants to accept payments and manage money.

The company continues to benefit from its scale and reputation. Despite ongoing criticisms, its strong European ties and a global network means Deutsche Bank is well placed to help clients navigate through geopolitical and macroeconomic shifts, something that can’t be said so confidently of its competitors. Today, it operates in circa 60 countries.

Moving forwards, the company is focused on aligning more closely to environmental, social and governance (ESG) criteria to facilitate over €500B in sustainable finance and investments between 2020 and 2025.