Deutsche Bank
Employee Compliance Licensing and Registration - Assistant Vice President
Deutsche Bank, Jacksonville, Florida, United States, 32290
Assistant Vice President Employee Compliance Licensing And Registration
Compliance is seeking an Assistant Vice President to work on our US Licensing and Registration team. You will be expected to co-manage the daily operations of registering internal employees/legal entities with Financial Industry Regulatory Authority (FINRA), NFA, Federal Reserve Bank (FRB) and state insurance regulators along with other projects as required for the US Region. The team is also responsible for performing an independent 2nd level control function and providing effective advice and tools as it pertains to registration related issues. What We Offer You A diverse and inclusive environment that embraces change, innovation, and collaboration A hybrid working model, allowing for in-office/work from home flexibility, generous vacation, personal and volunteer days Employee Resource Groups support an inclusive workplace for everyone and promote community engagement Competitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefits Educational resources, matching gift and volunteer programs What You'll Do Managing the run-the-bank processes and teams relating to the US Licensing and Registration region Manage all aspects of registrations and ensure timely filings of the appropriate documentation with regulators Prepare weekly, monthly and quarterly key metrics pertaining to US Licensing and Registration region activities Provide advice and counsel to business partners and ensure compliance on matters pertaining to licensing and registration related matters Ability to develop criteria for gathering of business requirements for related projects (to include technology initiatives), review functional requirements, participate in project meetings, perform user acceptance testing, manage post implementation issues and system enhancements Escalate and communicate clearly, both in writing and orally, with peers and Manager regarding issues encountered, questions and any data irregularities Skills You'll Need Bachelor's degree or equivalent work experience is required The successful candidate will have moderate years of experience in a compliance/broker-dealer support models Strong interpersonal and communication skills including ability to communicate professionally and effectively, while using discretion with sensitive and confidential data, across all mediums with staff at all levels Experience of process management and design Prior experience in FINRA registration or related industry experience a plus Skills That Will Help You Excel Proven ability to multitask as well as assess and change priorities in a fast paced environment Exceptional organizational, writing and communication skills Detail-oriented with excellent organizational skills Forward thinking and self-driven with the ability to see opportunities in challenges Capable of exercising sound judgement and good decision-making in managing risk Expectations It is the Bank's expectation that employees hired into this role will work in the Jacksonville office in accordance with the Bank's hybrid working model. Deutsche Bank provides reasonable accommodations to candidates and employees with a substantiated need based on disability and/or religion. The salary range for this position in Jacksonville, FL is $75,000 to $110,750. Actual salaries may be based on a number of factors including, but not limited to, a candidate's skill set, experience, education, work location and other qualifications. Posted salary ranges do not include incentive compensation or any other type of remuneration. We welcome applications from all people and promote a positive, fair and inclusive work environment.
Compliance is seeking an Assistant Vice President to work on our US Licensing and Registration team. You will be expected to co-manage the daily operations of registering internal employees/legal entities with Financial Industry Regulatory Authority (FINRA), NFA, Federal Reserve Bank (FRB) and state insurance regulators along with other projects as required for the US Region. The team is also responsible for performing an independent 2nd level control function and providing effective advice and tools as it pertains to registration related issues. What We Offer You A diverse and inclusive environment that embraces change, innovation, and collaboration A hybrid working model, allowing for in-office/work from home flexibility, generous vacation, personal and volunteer days Employee Resource Groups support an inclusive workplace for everyone and promote community engagement Competitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefits Educational resources, matching gift and volunteer programs What You'll Do Managing the run-the-bank processes and teams relating to the US Licensing and Registration region Manage all aspects of registrations and ensure timely filings of the appropriate documentation with regulators Prepare weekly, monthly and quarterly key metrics pertaining to US Licensing and Registration region activities Provide advice and counsel to business partners and ensure compliance on matters pertaining to licensing and registration related matters Ability to develop criteria for gathering of business requirements for related projects (to include technology initiatives), review functional requirements, participate in project meetings, perform user acceptance testing, manage post implementation issues and system enhancements Escalate and communicate clearly, both in writing and orally, with peers and Manager regarding issues encountered, questions and any data irregularities Skills You'll Need Bachelor's degree or equivalent work experience is required The successful candidate will have moderate years of experience in a compliance/broker-dealer support models Strong interpersonal and communication skills including ability to communicate professionally and effectively, while using discretion with sensitive and confidential data, across all mediums with staff at all levels Experience of process management and design Prior experience in FINRA registration or related industry experience a plus Skills That Will Help You Excel Proven ability to multitask as well as assess and change priorities in a fast paced environment Exceptional organizational, writing and communication skills Detail-oriented with excellent organizational skills Forward thinking and self-driven with the ability to see opportunities in challenges Capable of exercising sound judgement and good decision-making in managing risk Expectations It is the Bank's expectation that employees hired into this role will work in the Jacksonville office in accordance with the Bank's hybrid working model. Deutsche Bank provides reasonable accommodations to candidates and employees with a substantiated need based on disability and/or religion. The salary range for this position in Jacksonville, FL is $75,000 to $110,750. Actual salaries may be based on a number of factors including, but not limited to, a candidate's skill set, experience, education, work location and other qualifications. Posted salary ranges do not include incentive compensation or any other type of remuneration. We welcome applications from all people and promote a positive, fair and inclusive work environment.