Description
Job Title Compliance Officer Head of Origination & Advisory Director
Corporate Title Director
Location New York, NY
Overview
As the Compliance Officer Head of Origination & Advisory Director, you will lead a team and focus on providing real-time support to the Origination & Advisory (O&A) Coverage business.
The O&A Coverage 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 and 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
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
Draft, update, and implement relevant policies and procedures
Provide regulatory / compliance training
Assist the Business in implementing and documenting various supervisory / control mechanisms
Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections
Interact with federal and state regulators
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
Identify regulatory trends and developments that impact business areas, and advise staff as to how this may impact their current activities
Advise senior business stakeholders across O&A on various firm policies and procedures and applicable securities laws and regulations
Skills You’ll Need
Bachelors Degree or equivalent (JD or MBA a plus)
Extensive securities experience, preferably in a global investment bank or law firm. Similar experience with a regulator will also be considered
Experience in providing legal, regulatory or compliance advice in connection with investment banking advisory engagements and transactions is essential
Strong knowledge of applicable U.S. securities laws, rules, and regulations
Skills That Will Help You Excel
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
Expectations
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 $170,000 to $280,500. 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 & Diversity
We 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 Benefits
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 authenti cally 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!
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LI-ONSITE
Our values define the working environment we strive to create diverse, supportive and welcoming of different views. We embrace a culture reflecting a variety of perspectives, insights and backgrounds to drive innovation.
We build talented and diverse teams to drive business results and encourage our people to develop to their full potential.
Talk to us about flexible work arrangements and other initiatives we offer.
We promote good working relationships and encourage high standards of conduct and work performance.
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