Senior Compliance Officer, Deutsche Bank

• Bachelor’s degree required
• 5 to 7 years of compliance experience with experience as a Compliance Officer/Advisor for a broker dealer and/or registered investment advisor
• Fluent in all FINRA and SEC issues and concerns
• Demonstrated expertise with financial services regulatory schemes, including SEC and FINRA rules and regulations. Knowledge of securities products
• Strong experience in sales practice compliance required; working knowledge of the Global Investment Performance Standards (GIPS) a plus
• Experience reviewing marketing and advertising collateral in accordance with relevant FINRA and/or SEC regulations
• Excellent analytical skills, sound judgment and strong attention to detail
• Ability to exercise independent, and informed judgment
• Outstanding written and verbal communication skills, with demonstrated ability to think analytically and strategically to solve problems and implement solutions
• Able to meet deadlines and handle multiple matters simultaneously

Desirable

• The Senior Compliance Officer - Institutional Sales Coverage position sits in DWS Business Line Compliance (“DWS” Compliance)
• The Senior Compliance Officer - Institutional Sales Coverage will assist the Chief Compliance Officer in developing and administering the policies and procedures of the Sales Coverage business (“Coverage”) in the sale and offer of mutual funds/ETFs through institutional financial intermediary channels, separately managed accounts and investment products direct to institutional investors
• Provide compliance expertise and advice to business partners. Build consultative working relationships with business partners, helping them to meet their business objectives, while keeping the relevant registered entities in compliance
• Assist business partners in developing and updating written supervisory procedures to ensure compliance with relevant SEC, FINRA rules, federal securities and other applicable laws
• Conduct the annual risk assessment to identify potential risks and assist the business managers in mitigating such risks
• Develop and recommend workable action plans for correcting weaknesses identified in the written supervisory procedures
• Develop, implement, monitor and report on internal compliance systems and processes utilized for Coverage to ensure compliance with applicable SEC rules, FINRA rules, federal and state securities regulations and other applicable laws
• Provide advice to the marketing review team on the review of broker-dealer and investment advisory materials; provide advice to the business on the creation and positioning of marketing materials
• Provide analysis and guidance to Coverage regarding any cross-border solicitation activities regarding securities products and asset management services
• Assist the CCO with conducting the Annual Certification of Compliance and Supervisory Processes requirements under FINRA Rule 3130
• Provide analysis and guidance to Coverage regarding any potential lobbying activities
• Assist the CCO in coordinating with the business managers to update and maintain broker-dealer’s Form BD with FINRA
• Assist the CCO with any regulatory examinations and inspections by FINRA or other SRO’s
• Conduct annual training, including the Annual Compliance Meeting and other ad hoc training
• Manage the escalation of emails of Coverage team members and escalate to the CCO as appropriate
• Lead projects related to new regulations as needed
• Coordinate with central compliance functions to address internal client and Business Line Compliance needs
• Actively participate in working groups, including leading working groups as necessary