Infrastructure Compliance Officer - Assistant Vice President Infrastructure Compliance Officer - Assistant Vice  …

Deutsche Bank
in Jacksonville, FL, United States
Permanent, Full time
Be the first to apply
Competitive
Deutsche Bank
in Jacksonville, FL, United States
Permanent, Full time
Be the first to apply
Competitive
Infrastructure Compliance Officer - Assistant Vice President
Position Overview

Job Title: Infrastructure Compliance Officer

Corporate Title: Assistant Vice President

Location: Jacksonville, FL

Overview

You will work in compliance oversight of Deutsche Bank's infrastructure divisions, including but not limited to Finance, Operations, Risk, and Technology. Responsibilities will involve all aspects of compliance support, including advising and providing review and challenge to multiple infrastructure divisions of a sophisticated full service broker/dealer and bank relating business. In particular, you will focus on the areas of enterprise risk management, outsourcing/vendor risk management, e-communications, customer complaints, and record retention. You should have an understanding of investment banks or broker-dealers, including the relevant current and proposed industry and regulatory developments. The role will also involve assisting New York staff with compliance projects and ad-hoc requests to further strengthen the Bank's compliance.

What We Offer You:

  • We offer competitive health and wellness benefits, empowering you to value life in and out of the office

  • Active engagement with the local community through Deutsche Bank's specialized employee groups

  • An environment that encourages networking and collaboration across functions and businesses


Hear from our people and look inside our office: DB@The Muse

Your Key Responsibilities:

  • Identify regulatory trends and developments, advise infrastructure division staff as to how this may impact their current activities and work with supervisors to implement any required changes to current policy / practice

  • Participate in internal and external investigations, assisting in response to regulatory inquiries, and coordinate internal and external audits and inspections

  • Perform periodic risk assessments of infrastructure divisions and support periodic compliance testing on infrastructure division operations in Jacksonville and provide regulatory/compliance training as needed

  • Develop and enhance compliance policies and procedures and coordinate with global colleagues in developing global standards

  • Assist in the preparation of compliance reports for compliance management, senior management, executive committees, and risk committees as required

  • Assist with the establishment of an appropriate control framework tailored to the activities of a specific infrastructure division


Your Skills and Experience:

  • University degree required, preferably in finance, business or accounting; JD preferred

  • Relevant compliance experience, preferably at a major national or global securities firm or regulator or relevant business experience in working in investment bank or broker-dealer is preferred

  • Experience working in compliance or a similar financial services risk management function a strong plus

  • Securities licenses are preferred but not required

  • Ability to work independently with a minimum of supervision


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.

Click here to find out more about diversity and inclusion.

We are an Equal Opportunity Employer - Veterans/Disabled and other protected categories. 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.

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