Compliance Officer – Fixed Income Sales & Trading – Credit – Vice President

Job title: Compliance Officer – Fixed Income Sales & Trading – Credit – Vice President

Company: Deutsche Bank

Job description: Job Description:Job Title Compliance Officer – Fixed Income Sales & Trading – CreditCorporate Title Vice PresidentLocation New York, NYOverviewYou will provide real-time support to the Fixed Income & Currencies (FIC) Sales & Trading business which focuses on credit, rates, securitized products, foreign exchange, and emerging markets debt. Your primary focus will be aligned to the credit business. This includes advising on issues (questions, problems, or proposals) related to Credit sales and trading activities, surveillance and monitoring of controls, supervision, and other issues that are typical for a large global investment bank.What We Offer YouA diverse and inclusive environment that embraces change, innovation, and collaborationA hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer daysEmployee Resource Groups support an inclusive workplace for everyone and promote community engagementCompetitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefitsEducational resources, matching gift, and volunteer programsWhat You’ll DoProvide real-time advisory services to the Credit business within FIC Sales & Trading; identify regulatory trends and developments that impact business areas, and advise staff as to how this may impact their current activitiesAdvise business areas on Firm policies and procedures and applicable securities laws and regulations; draft, update, and implement relevant policies and proceduresProvide regulatory/compliance training; assist the Business in implementing and documenting various supervisory/control mechanismsParticipate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections; interact with federal and state regulatorsSupport the global compliance monitoring program by providing input on the framework documents and completing verification checks as outlined the in the annual monitoring planPerform testing and monitoring of compliance with Firm policies and conduct risk assessments of the Business to ensure effective business control frameworkHow You’ll LeadExcellent oral and written communication skillsAbility to make, support, and defend difficult and complex regulatory/compliance decisions in a fast-paced and high-pressured environmentAbility to project confidence and professionalism in dealings with senior business personnelSkills You’ll NeedBachelor’s degree or equivalent; JD or MBA a plusCompliance experience with markets coverage, but at a minimum experience in advising for Credit business activitySkills That Will Help You ExcelRelevant experience providing compliance or legal coverage to a sales or trading Credit desk at a broker/dealer working on or providing trade/sales support to such a deskFunctional knowledge of the US fixed income and derivative trading regulatory framework, including Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission (SEC) broker dealer regulations and other relevant bank regulations; knowledge of FRB, SEC, CFTC, MSRB, and FINRA laws, rules, and regulations as well as industry best practicesStrong 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 functionsAction-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 prioritiesAbility to project confidence and professionalism in dealings with senior business personnelExpectationsIt is the Bank’s expectation that employees hired into this role will work in the New York City 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 renumeration.Deutsche Bank Values & DiversityWe believe talent is found in all cultures, countries, races, ethnicities, genders, sexual orientations, disabilities, beliefs, generations, backgrounds, and experiences. We pursue a working environment where everyone can be authentic and feel a sense of belonging. Click to find out more about our diversity and inclusion efforts.We are an Equal Opportunity Employer – Veterans/Disabled and other protected categories.Learn more about your life at DB through the eyes of our current employees: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 .Deutsche Bank BenefitsAt 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 to learn more!Click these links to view the following notices: and ; ; and#LI-HYBRID#LI-REMOTE#LI-ONSITEWe strive for a 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.We are an Equal Opportunity Employer – Veterans/Disabled and other protected categories. Click these links to view the following notices: and ; ; and .

Expected salary: $125000 per year

Location: New York City, NY

Job date: Wed, 07 Aug 2024 23:51:55 GMT

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