Position Overview
Job Title Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading – Rates
Corporate Title Vice President
Location New York, NY
Overview
You will focus on providing real-time supportto the FIC Sales & Trading business which focuses on credit, rates, securitized products, foreign exchange, and emerging markets debt. With primary focus on the Rates business, the role will involve advising on issues (questions, problems, or proposals) related to the 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 You
A 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 Do
Provide real-time advisory services to the Rates business within Fixed Income & Currencies (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 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 Lead
Excellent 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 Need
Bachelor's degree or equivalent; JD or MBA a plusSignificant experience with fixed income (including FX, credit and rates) products, but at a minimum experience in advising for Rates business activity.Skills That Will Help You Excel
Relevant experience providing compliance or legal coverage to a sales or trading Rates 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, the '33 Act and the '34 Act, FINRA, SEC, broker dealer regulations and other relevant bank regulations; knowledge of SEC and FINRA laws, rules, and regulations as well as industry best practiceStrong 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 personnelExpectations
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.
The salary range for this position in New York City is $120,000 to $200,000. 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.
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. We are an Equal Opportunity Employer - Veterans/Disabled and other protected categories.
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