About Deutsche Bank

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 Legal, Risk and Capital

Deutsche Bank is exposed to a wide range of risks every day which can impact its reputation and capital.  Legal Risk & Capital (LRC) is recognized as a market leader in the risk management industry to guard against such exposures.  LRC manages all aspects of risks, such as credit loss, volatility of market prices, operational failures, liquidity shortages, regulatory and legal matters.  All risks are managed from the analysis of counterparty credit risk and the stress-testing of market movements, to the protection of the Bank’s infrastructure and information.  The major risks that Deutsche Bank faces are managed by different areas within LRC.  These include the Chief Operating Office, Compliance, Corporate Security & Business Continuity, Credit Risk Management, Investment Risk Management, Legal, Operational Risk Management, Market Risk Management, and Treasury & Capital Management. 

Failure to comply with regulations can cost a bank its business.  Compliance’s work of identifying and managing regulatory risks, therefore is critical.  Compliance advances lawful and ethical business conduct and prevents and detects violations of law, helping to protect and maintain Deutsche Bank’s integrity and reputation.

Compliance Officer – Securities

Monitoring, Surveillance and Investigations

Candidate will join a team of 10 Compliance Officers charged with the reviews of all U.S. banking and broker dealer activities. The position provides exposure to a wide variety of business areas and an opportunity to work on teams.

Responsibilities include:

·         Assist in the planning and conducting of compliance inspections of branch offices, trading desks, areas and /or issues with a view towards assessing compliance with applicable laws, rules, policies and procedures, and escalate and follow up on issues found.

·         Remain current on industry rules, regulations and best practices to help ensure that the examination program meets regulatory standards.

·         Help to make effective use of information systems.

·         Work on special projects and targeted reviews

·         Coordinate with other professionals in the organization, including Compliance Advisory Teams, Regulatory Inquiry Staff, and Surveillance Analysts.

·         Communicate examination results, including preparation of written inspection reports and presenting identified issues to the business.

·         Provide feedback to Compliance Advisory where there are outdated procedures or recurring issues.

·         Domestic travel required (approx 30 days a year).

Skills Required:

·         Bachelor’s Degree (Finance or Economics preferred). MBA or JD is helpful, along with Series 7 and 24 licenses

·         Previous experience in one or more of the following: government agency or self-regulatory organization; front or back office experience with a brokerage firm or investment advisor; in a regulatory, compliance or business capacity on sales or trading desks; in a transactional capacity; or with a hedge fund, investment advisor or investment company

·         Minimum of eight years of compliance and/or regulatory experience, with knowledge of the financial service industry, regulatory requirements and experience in analyzing business risk and best practices

·         Highly developed investigative skills – inquiry and analysis, interviewing, testing (including forensic testing), organization and presentation (both written and verbal)

·         Excellent communication, interpersonal and PC skills

Deutsche Bank is an Equal Opportunity/Affirmative Action (M/F/D/V) employer