Registrations & Licensing - Associate Registrations & Licensing - Associate …

Deutsche Bank
in Jacksonville, FL, United States
Permanent, Full time
Be the first to apply
Deutsche Bank
in Jacksonville, FL, United States
Permanent, Full time
Be the first to apply
Registrations & Licensing - Associate
Position Overview

Job Title: Registrations & Licensing

Corporate Title: Associate

Location: Jacksonville, FL


Our Legal, Compliance and Government & Regulatory Affairs department manages the legal services, reviews trade reports, and educates to avoid unintentional rule breaches or conflicts of interest, and advices on regulatory and political challenges.

Compliance is now seeking an Associate to work in our Employee Compliance Department on our Registrations & Licensing Team. Your primary focus is responsibility for registering internal employees with FINRA & NFA along with other projects as required.

What We Offer You:
  • We offer competitive health and wellness benefits, empowering you to value life in and out of the office
  • On-site gym, cafeteria, health center, and communal meeting areas
  • 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:
  • Provide support to various areas within Deutsche Bank by registering professionals with FINRA and NFA and maintain accurate and complete records
  • Advise the business and ensure compliance on matters pertaining to FINRA and NFA licensing and registration
  • Perform all aspects of registration and file the appropriate documentation with regulators
  • Drive the delivery of operational processes including the execution of Form U4, Form 8-R, Form U5 and Form 8-T
  • Work closely with other team members and provide assistance when needed

Your Skills and Experience:
  • Experience in broker-dealer and/or investment advisor experience and a minimum of a Bachelors' degree
  • Ability to manage multiple tasks and prioritize workflow and able to define and track deliverables through to implementation
  • Knowledge of FINRA's Web CRD system and NFA ORS system
  • Familiarity with FINRA rules & regulations
  • Strong analytical, interpersonal skills, professionalism and teamwork awareness; proficient in Word, Excel and PowerPoint

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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