Deutsche Bank

Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading – Rates. The FIC Sales & Trading business focuses on credit, rates, securitized products, foreign exchange, and emerging markets debt.. With primary focus on the Rates business, you will advise on issues (questions, problems, or proposals) related to Rates sales and trading activities, surveillance and monitoring of controls, supervision, and other issues that are typical for a large global investment bank.. 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 desk. Functional 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 Fed, SEC, CFTC, MSRB, and FINRA laws, rules, and regulations as well as industry best practice

compliance officer

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 support to the FIC Sales & Trading business. The FIC Sales & Trading business focuses on credit, rates, securitized products, foreign exchange, and emerging markets debt. With primary focus on the Rates business, you will advise on issues (questions, problems, or proposals) related to Rates 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 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 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 activities
Advise business areas on Firm policies and procedures and applicable securities 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
Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections; interact with federal and state regulators
Support the global compliance monitoring program by providing input on the framework documents and completing verification checks as outlined the in the annual monitoring plan
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
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
Significant experience with fixed income (including FX, credit, and rates) products, but at a minimum experience in advising for Rates business activity
Familiarity with Primary Dealer activities and obligations 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 desk
Functional 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 Fed, SEC, CFTC, MSRB, and FINRA laws, rules, and regulations as well as industry best practice
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. 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 here 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 Deutsche Bank through the eyes of our current employees: https://careers.db.com/life 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 HR.Direct@DB.com. 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 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 here to learn more!
Click these links to view the following notices: EEO is the Law poster and supplement; Employee Rights and Responsibilities under the Family and Medical Leave Act; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision #LI-HYBRID
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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. We welcome applications from talented people from all cultures, countries, races, genders, sexual orientations, disabilities, beliefs and generations and are committed to providing a working environment free from harassment, discrimination and retaliation.

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