Compliance Officer - Investment Bank Compliance -Investment Banking and Capital Markets - Vice President

Job Title Compliance Officer - Investment Bank Compliance -Investment Banking and Capital MarketsCorporate Title Vice PresidentLocation New York, NYOverview As a Compliance Officer in Investment Banking and Capital Markets, you will provide real-time support to the Investment Banking businesses, with a focus on Coverage Banking, Debt Capital Markets and Leveraged Debt Capital Markets. These businesses focus on investment banking advisory engagements and capital markets products and services, including origination, structuring, execution and syndication of securities offerings. You will be expected to advise on issues (questions, problems or proposals) related to confidential information and information barriers, underwriting, marketing and selling securities offerings, internal controls, supervision, communications with the public-side of the Firm and external public-side investors, and other issues that are typical for a large global investment bank. You will also be expected to substantively contribute to the creation and maintenance of policies owned by the Compliance team and to the Compliance Risk Assessment process.What We Offer YouA 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 DoYou will provide real-time advisory services to the Firm’s investment banking businessesYou will identify regulatory trends and developments that impact business areas, and advise staff as to how this may impact their current activitiesYou will advise business areas on firm policies and procedures and applicable securities laws and regulations, draft, update, and implement relevant policies and procedures, and provide regulatory/compliance trainingYou will 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 inspectionsYou will 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 in the annual monitoring planYou will perform testing and monitoring of compliance with firm policies and conduct risk assessments of the business to ensure an effective business control framework is in placeHow You’ll LeadYou will partner with senior business leaders and control functions across the Investment Banking and Capital Markets platformYou will collaborate with Compliance colleagues across the Americas organizationYou will coordinate with global Compliance teams supporting Investment Banking and Capital MarketsSkills You’ll NeedBachelor’s degree or equivalent; JD or MBA a plusExperience in the securities industry, preferably in a global investment bank or with a regulatorExpertise in working with capital markets and traditional investment banking regulatory requirements and non-financial riskAbility to work across geographic & cultural boundaries to achieve organizational goals & objectivesAbility to make decisions independently and escalate urgent matters to senior leaders with the appropriate key factsSkills That Will Help You ExcelExperience in providing legal, regulatory or compliance advice in connection with coverage banking, mergers and acquisitions, and/or capital markets is preferredFunctional knowledge of Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), broker dealer regulations and other relevant bank regulations related to investment banking as well as industry best practicesStrong 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 personnelExpectationsIt 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 $125,000 to $222,500. 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 remuneration.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!Learn more about your life at Deutsche Bank through the eyes of our current employees https://careers.db.com/lifeThe 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 .#LI-HYBRID 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. Click these links to view Deutsche Bank’s Equal Opportunity Policy Statement and the following notices: EEOC Know Your Rights; Employee Rights and Responsibilities under the Family and Medical Leave Act; and Employee Polygraph Protection Act.