Compliance Officer Investment Bank Compliance Fixed Income Sales & Trading FIC Macro Compliance - Vice President

Compliance Officer Investment Bank Compliance Fixed Income Sales & Trading FIC Macro Compliance

Compliance Officer Investment Bank Compliance Fixed Income Sales & Trading FIC Macro Compliance

Vice President

Location : New York, NY

Overview

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 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

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

Skills You'll Need

Bachelor's degree or equivalent; JD or MBA a plus

Compliance experience with markets coverage, but at a minimum experience in advising for FX or Interest Rates business activity

Skills That Will Help You Excel

Relevant experience providing compliance or legal coverage to FIC desk at a broker / dealer working on or providing trade / sales support to such a desk

Functional knowledge of : US derivative trading regulatory framework (Commodity Futures Trading Commission (CFTC) / NFA and Securities and Exchange Commission (SEC) SBSD rules and regulations); Financial Industry Regulatory Authority (FINRA) and SEC broker dealer regulations; industry standards (e.g., FX Global Code, FMSB Standards); relevant US Bank regulations

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

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, 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 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.

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.