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Compliance Officer, Corporate & Investment Banking Job Details
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| Compliance Officer, Corporate & Investment Banking (Ref: 23239) | |
| Sector, Sub Sector: | Other |
| Compliance Type: | Regulatory/Compliance |
| Expertise: | - |
| Company: | Deutsche Bank |
| Location: | New York Americas, United States |
| Employment Type: | Permanent |
| Job Description: |
A Passion to Perform. It’s what drives us. More than a claim, this describes the way we do business. We’re committed to being the best financial services provider in the world, balancing passion with precision to deliver superior solutions for our clients. This is made possible by our people: agile minds, able to see beyond the obvious and act effectively in an ever-changing global business landscape. As you’ll discover, our culture supports this. Diverse, international and shaped by a variety of different perspectives, we’re driven by a shared sense of purpose. At every level agile thinking is nurtured. And at every level agile minds are rewarded with competitive pay, support and opportunities to excel. About Compliance Deutsche Bank is exposed to a wide range of risks every day which can impact its reputation and capital. The Compliance Department protects the firm by facilitating lawful and ethical business conduct, identifying regulatory solutions, safeguarding the integrity and reputation of the firm and promoting, in partnership with the business, a culture of Compliance. Compliance Officer – Corporate and Investment Banking Candidate will focus on providing real-time support to Corporate and Investment Banking businesses, primarily Debt Capital Markets and related businesses. This will involve advising on issues (questions, problems or proposals) related to Chinese walls and information barriers, underwriting securities offerings, loan syndication, interaction with research analysts, internal controls, supervision and other issues that are typical for a large global investment bank. Responsibilities: • Advice Capital Markets business areas on firm policies and procedures and applicable securities laws and FINRA regulations • Identify regulatory trends and developments that impact Capital Markets business areas, and advise staff as to how this may impact their current activities. • Draft, update, and implement relevant policies and procedures. • Provide regulatory/compliance training. • Assist the business implement and document 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 Position Requirements • Bachelors Degree or equivalent; JD or MBA a plus • 5+ years of securities experience, preferably in a global investment bank. Similar experience with a regulator or law firm will be considered. • Significant experience in providing legal, regulatory or compliance advice in connection with debt capital markets transactions is essential. • Strong knowledge of applicable securities laws, rules and regulations. • 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. *Deutsche Bank is an Equal Opportunity/Affirmative Action (M/F/D/V) employer.* |
| Job Ref No: | 23239 |
