Deutsche Bank
Investment Bank Compliance Officer – Origination & Advisory - Vice President
Deutsche Bank, New York, New York, us, 10261
Investment Bank Compliance Officer – Origination & Advisory - Vice President
J
ob Title
Investment Bank Compliance Officer – Origination & Advisory
Submit your CV and any additional required information after you have read this description by clicking on the application button. Corporate Title
Vice President Location
New York, NY Overview You will focus on providing real-time support to the Origination & Advisory 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. 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. What We Offer You A diverse and inclusive environment that embraces change, innovation, and collaboration 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 Provide real-time advisory services to the Origination & Advisory coverage business - this includes identifying regulatory trends and developments that impact business areas Advise and train business areas on firm policies and procedures and applicable securities laws and regulations Assist the Business in implementing and documenting various supervisory/control mechanisms to develop relevant policies and procedures Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections Support the global compliance monitoring program by providing input on the framework documents and completing verification checks as outlined 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 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 Skills You’ll Need Bachelor's degree or equivalent; JD or MBA a plus Relevant experience of securities, preferably in a global investment bank or law firm. Similar experience with a regulator will also be considered Skills That Will Help You Excel Experience in providing legal, regulatory or compliance advice in connection with investment banking advisory engagements and transactions is essential Knowledge of FINRA, SEC, broker dealer regulations and other relevant bank 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 It is the Bank’s expectation that employees hired into this role will work in the New York 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, 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. At Deutsche Bank, we recognize that our benefit programs have a profound impact on our colleagues. That’s why we are focused on providing benefits and perks that enable our colleagues to live authentically and be their whole selves, at every stage of life. 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. Click here to learn more! The California Consumer Privacy Act outlines how companies can use personal information. If you are interested in receiving a copy of Deutsche Bank’s California Privacy Notice please email HR.Direct@DB.com . #LI-HYBRID 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. Together we share and celebrate the successes of our people. Together we are Deutsche Bank Group. We welcome applications from all people and promote a positive, fair and inclusive work environment. The bank's network spans 58 countries with a large presence in Europe, the Americas and Asia. Notice Talentify is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or protected veteran status. Talentify provides reasonable accommodations to qualified applicants with disabilities, including disabled veterans. Request assistance at accessibility@talentify.io or 407-000-0000. Federal law requires every new hire to complete Form I-9 and present proof of identity and U.S. work eligibility. An Automated Employment Decision Tool (AEDT) will score your job-related skills and responses. Bias-audit & data-use details: www.talentify.io/bias-audit-report . NYC applicants may request an alternative process or accommodation at aedt@talentify.io or 407-000-0000.
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J
ob Title
Investment Bank Compliance Officer – Origination & Advisory
Submit your CV and any additional required information after you have read this description by clicking on the application button. Corporate Title
Vice President Location
New York, NY Overview You will focus on providing real-time support to the Origination & Advisory 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. 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. What We Offer You A diverse and inclusive environment that embraces change, innovation, and collaboration 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 Provide real-time advisory services to the Origination & Advisory coverage business - this includes identifying regulatory trends and developments that impact business areas Advise and train business areas on firm policies and procedures and applicable securities laws and regulations Assist the Business in implementing and documenting various supervisory/control mechanisms to develop relevant policies and procedures Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections Support the global compliance monitoring program by providing input on the framework documents and completing verification checks as outlined 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 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 Skills You’ll Need Bachelor's degree or equivalent; JD or MBA a plus Relevant experience of securities, preferably in a global investment bank or law firm. Similar experience with a regulator will also be considered Skills That Will Help You Excel Experience in providing legal, regulatory or compliance advice in connection with investment banking advisory engagements and transactions is essential Knowledge of FINRA, SEC, broker dealer regulations and other relevant bank 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 It is the Bank’s expectation that employees hired into this role will work in the New York 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, 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. At Deutsche Bank, we recognize that our benefit programs have a profound impact on our colleagues. That’s why we are focused on providing benefits and perks that enable our colleagues to live authentically and be their whole selves, at every stage of life. 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. Click here to learn more! The California Consumer Privacy Act outlines how companies can use personal information. If you are interested in receiving a copy of Deutsche Bank’s California Privacy Notice please email HR.Direct@DB.com . #LI-HYBRID 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. Together we share and celebrate the successes of our people. Together we are Deutsche Bank Group. We welcome applications from all people and promote a positive, fair and inclusive work environment. The bank's network spans 58 countries with a large presence in Europe, the Americas and Asia. Notice Talentify is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or protected veteran status. Talentify provides reasonable accommodations to qualified applicants with disabilities, including disabled veterans. Request assistance at accessibility@talentify.io or 407-000-0000. Federal law requires every new hire to complete Form I-9 and present proof of identity and U.S. work eligibility. An Automated Employment Decision Tool (AEDT) will score your job-related skills and responses. Bias-audit & data-use details: www.talentify.io/bias-audit-report . NYC applicants may request an alternative process or accommodation at aedt@talentify.io or 407-000-0000.
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