Corporate Finance Compliance Officer - Assistant Vice President
Position Overview Job Title:
Corporate Finance Compliance Officer Corporate Title:
Assistant Vice President Location:
New York, NY Overview
Deutsche Bank Corporate Finance Compliance is seeking to hire a highly motivated professional to provide Compliance oversight for the Corporate Finance Industry Coverage Businesses.
The role is part of the Americas Corporate Finance Compliance providing real-time support to the Corporate Finance Investment Banking Coverage teams. Your responsibilities include providing day-to-day advice on issues related to confidential information and information barriers, communications with the public-side of the firm and external investors, underwriting, marketing and selling securities offerings, internal controls, supervision, policies, procedures, regulations, and interpretation of internal policies and procedures. What We Offer You:
- We offer competitive health and wellness benefits, empowering you to value life in and out of the office
- Retirement Savings Plans, Parental Leave, and other family-friendly programs
- On-site cafeteria, health center, and an environment that encourages networking and collaboration across functions and businesses
- Active engagement with the local community through Deutsche Bank's specialized employee groups
Hear from our people and look inside our office: DB@The Muse Your Key Responsibilities:
Your Skills and Experience:
- Work with a team to provide Compliance coverage for the Corporate Finance business
- Provide direct advice to Investment Bankers on issues 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, policies, procedures, and applicable regulations
- Work closely with Compliance Officers globally to develop a cohesive approach to the business
- Execute all aspects of the Compliance Program: policies; training; risk assessment; advisory; investigations/reviews
- Review new products, transactions and participate in business and compliance related governance, as required
- Support compliance testing; group audit, risk assessments and regulatory examinations
- Experience providing compliance, legal or audit coverage for a US lending business, with cross border experience a plus and knowledge of SEC, FINRA and FED rules and regulations
- A background on compliance related risks particularly: suitability; information barriers; price sensitive information; client confidentiality; and FINRA registrations
- Ability to analyze complex banking transactions and assess an array of compliance considerations including information barriers, suitability and cross border risks
- Ability to provide real-time guidance to the business on compliance matters including regulatory requirements and control solutions
- Ability to identify and escalate relationships and transactions that pose reputational risk to Deutsche Bank
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.
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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.