Job Description: Job Title Compliance Officer - Investment Bank Compliance - Origination & Advisory - Capital Markets
Corporate Title Vice President
Location New York, NY
Overview You will provide real-time support to Equity Capital Markets (ECM) and Strategic Equity businesses. This support focuses on origination of equity initial public offerings, secondary offerings, convertible bond offerings and issuer repurchases. Your role will largely involve advising on issues (questions, problems, or proposals) related to confidential information and information barriers, Regulation M, 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.
What We Offer You - 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 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
What You'll Do - Provide real-time advisory services to ECM and Strategic Equity businesses, 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 the in the annual monitoring plan
- Perform testing and monitoring of compliance with the Firm policies and conduct risk assessments of the Business to ensure effective business control framework
How You'll Lead - Excellent oral and written communication skills
- Ability to make, support, and defend difficult and complex regulatory/compliance decisions in a fast-paced and high-pressured environment
- Ability to project confidence and professionalism in dealings with senior business personnel
Skills You'll Need - Bachelor's degree or equivalent; JD or MBA a plus
- Relevant securities experience, preferably in a global investment bank or law firm. Similar experience with a regulator will also be considered
Skills That Will Help You Excel - Experience in providing legal, regulatory or compliance advice in connection with investment banking advisory engagements and transactions is essential
- Functional knowledge of FINRA, 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, with the 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 and an ability to be proactive, work under pressure, and within tight deadlines while maintaining accuracy, showing initiative, and reacting quickly to changes in priorities
- Ability to project confidence and professionalism in dealings with senior business
Expectations It is the Bank's expectation that employees hired into this role will work in the New York, NY office in accordance with the Bank's hybrid working model. Deutsche Bank provides reasonable accommodations to candidates and employees with a substantiated need based on disability and/or religion. The salary range for this position in New York City is $125,000 to $203,000. Actual salaries may be based on a number of factors including, but not limited to, a candidate's skill set, experience, education, work location and other qualifications. Posted salary ranges do not include incentive compensation or any other type of remuneration.
Deutsche Bank Values & Diversity We believe talent is found in all cultures, countries, races, ethnicities, genders, sexual orientations, disabilities, beliefs, generations, backgrounds, and experiences. We pursue a working environment where everyone can be authentic and feel a sense of belonging. Click here to find out more about our diversity and inclusion efforts. We are an Equal Opportunity Employer - Veterans/Disabled and other protected categories. Learn more about your life at Deutsche Bank through the eyes of our current employees: The California Consumer Privacy Act outlines how companies can use personal information. If you are interested in receiving a copy of Deutsche Bank's California Privacy Notice, please email ...@DB.com .
Deutsche Bank Benefits At Deutsche Bank, we recognize that our benefit programs have a profound impact on our colleagues. That's why we are focused on providing benefits and perks that enable our colleagues to live authenti-cally and be their whole selves, at every stage of life. We provide access to physical, emotional, and financial wellness benefits that allow our colleagues to stay financially secure and strike balance between work and home. Click here to learn more! 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
#LI-HYBRID #LI-REMOTE #LI-ONSITE 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. Visit Inside Deutsche Bank to discover more about the culture of Deutsche Bank including Diversity, Equity & Inclusion, Leadership, Learning, Future of Work and more besides. 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 .