Deutsche Bank
Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading –
Deutsche Bank, New York, New York, us, 10261
Overview
Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading – FIC Macro Compliance - Vice President
at
Deutsche Bank
– New York, NY
You will provide business compliance coverage for the Fixed Income and Currencies (FIC) Macro Sales & Trading businesses. You will primarily focus on the Foreign Exchange (FX) business, and will support other desks including Interest Rates, Global Emerging Markets, and Futures as needed. You will be responsible for typical line compliance functions within a large, global investment bank, including but not limited to: providing real-time advice on matters relating to trading and sales activities; reviewing and advising on surveillance escalations; performing monitoring of controls; completing risk assessments; reviewing and advising on new product and transaction proposals; responding to regulatory inquiries and exams.
What You’ll Do
Provide real-time advisory services to the Fixed Income & Currencies (FIC) Sales & Trading businesses, with a particular focus on FX
Advise business areas on Firm policies and procedures and applicable 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
Identify regulatory trends and developments that impact business areas, and advise staff as to how this may impact their current activities
Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections; support the compliance monitoring program
Conduct risk assessments to ensure effective business control frameworks
How You’ll Lead
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
What You’ll Need
Bachelor’s degree or equivalent; JD or MBA a plus
Compliance experience with markets coverage, with minimum experience advising FX or Interest Rates business activity
Skills That Will Help You Excel
Experience providing compliance or legal coverage to FIC desks at a broker/dealer with exposure to trade/sales support
Knowledge of US derivative trading regulatory framework (CFTC/NFA and SEC SBSD), FINRA and SEC broker-dealer regulations; industry standards (FX Global Code, FMSB); relevant US bank regulations
Strong written and verbal communication and presentation skills; ability to influence senior stakeholders and foster cross-functional collaboration
Action-oriented, delivery-focused, proactive, able to work under pressure and meet deadlines while maintaining accuracy
Expectations It is the Bank’s expectation that employees hired into this role will work in the New York, NY 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 New York City is $125,000 to $203,000. Actual salaries may be based on a number of factors including skill set, experience, education, work location and other qualifications. Posted salary ranges do not include incentive compensation or any other type of remuneration.
Deutsche Bank Benefits At Deutsche Bank, we recognize that our benefit programs have a profound impact on our colleagues. We provide access to physical, emotional, and financial wellness benefits that allow our colleagues to stay financially secure and strike balance between work and home. Learn more about life at Deutsche Bank through the eyes of our current employees: https://careers.db.com/life
We strive for a culture in which we are empowered to excel together every day. This includes acting responsibly, thinking commercially, taking initiative and working collaboratively. We welcome applications from all people and promote a positive, fair and inclusive work environment. Qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, protected veteran status or other characteristics protected by law.
Seniorit y level
Not Applicable
Employment type
Full-time
Job function
Legal
Referrals increase your chances of interviewing at Deutsche Bank.
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at
Deutsche Bank
– New York, NY
You will provide business compliance coverage for the Fixed Income and Currencies (FIC) Macro Sales & Trading businesses. You will primarily focus on the Foreign Exchange (FX) business, and will support other desks including Interest Rates, Global Emerging Markets, and Futures as needed. You will be responsible for typical line compliance functions within a large, global investment bank, including but not limited to: providing real-time advice on matters relating to trading and sales activities; reviewing and advising on surveillance escalations; performing monitoring of controls; completing risk assessments; reviewing and advising on new product and transaction proposals; responding to regulatory inquiries and exams.
What You’ll Do
Provide real-time advisory services to the Fixed Income & Currencies (FIC) Sales & Trading businesses, with a particular focus on FX
Advise business areas on Firm policies and procedures and applicable 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
Identify regulatory trends and developments that impact business areas, and advise staff as to how this may impact their current activities
Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections; support the compliance monitoring program
Conduct risk assessments to ensure effective business control frameworks
How You’ll Lead
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
What You’ll Need
Bachelor’s degree or equivalent; JD or MBA a plus
Compliance experience with markets coverage, with minimum experience advising FX or Interest Rates business activity
Skills That Will Help You Excel
Experience providing compliance or legal coverage to FIC desks at a broker/dealer with exposure to trade/sales support
Knowledge of US derivative trading regulatory framework (CFTC/NFA and SEC SBSD), FINRA and SEC broker-dealer regulations; industry standards (FX Global Code, FMSB); relevant US bank regulations
Strong written and verbal communication and presentation skills; ability to influence senior stakeholders and foster cross-functional collaboration
Action-oriented, delivery-focused, proactive, able to work under pressure and meet deadlines while maintaining accuracy
Expectations It is the Bank’s expectation that employees hired into this role will work in the New York, NY 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 New York City is $125,000 to $203,000. Actual salaries may be based on a number of factors including skill set, experience, education, work location and other qualifications. Posted salary ranges do not include incentive compensation or any other type of remuneration.
Deutsche Bank Benefits At Deutsche Bank, we recognize that our benefit programs have a profound impact on our colleagues. We provide access to physical, emotional, and financial wellness benefits that allow our colleagues to stay financially secure and strike balance between work and home. Learn more about life at Deutsche Bank through the eyes of our current employees: https://careers.db.com/life
We strive for a culture in which we are empowered to excel together every day. This includes acting responsibly, thinking commercially, taking initiative and working collaboratively. We welcome applications from all people and promote a positive, fair and inclusive work environment. Qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, protected veteran status or other characteristics protected by law.
Seniorit y level
Not Applicable
Employment type
Full-time
Job function
Legal
Referrals increase your chances of interviewing at Deutsche Bank.
#J-18808-Ljbffr