Compliance Officer – Investment Bank Compliance – Origination & Advisory – Capital Markets - Assistant Vice President

About the position

The Compliance Origination & Advisory division at Deutsche Bank is responsible for ensuring that the Business and/or infrastructure functions are compliant with the requirements of all stakeholders including regulatory authorities and overseeing the remediation of findings and accurate regulatory reporting. You will focus on providing real-time support to the Origination & Advisory Capital Markets business which focuses on investment banking advisory engagements and capital markets products and services, including origination, structuring, execution, and syndication of securities offerings. This will involve advising on issues (questions, problems, or proposals) related to confidential information and information barriers, communications with the public-side of the Firm and external public-side investors, underwriting, marketing, and selling securities offerings, internal controls, supervision, and other issues that are typical for a large global investment bank.

Responsibilities

• Provide real-time advisory services to the Capital Markets businesses (i.e., Economic Capital Market, Leverage Debt Capital Markets, Debt Capital Markets)
• 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 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

Requirements

• Bachelor’s degree or equivalent; JD or MBA a plus
• Moderate securities experience, preferably in a global investment bank or law firm
• Similar experience with a regulator will also be considered
• Experience in providing legal, regulatory or compliance advice in connection with investment banking advisory engagements and transactions is essential
• Functional knowledge of Financial Industry Regulatory Authority, Securities and Exchange Commission (SEC), broker dealer regulations and other relevant bank regulations
• Knowledge of Regulation M, SEC 10b-18 and 10b5-1 as well as industry best practices
• Strong written and verbal communication and presentation skills
• 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
• Ability to be proactive, work under pressure, and within tight deadlines while maintaining accuracy
• Ability to project confidence and professionalism in dealings with senior business personnel

Benefits

• 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 that 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