New York, New York

Position Overview

Job Title: Markets Compliance Fixed Income

Corporate Title: Assistant Vice President

Location: New York, NY

Overview

You will be responsible for implementing and managing the overall compliance program for the credit-related businesses in Deutsche Bank's New York office. Deutsche Bank's credit business includes the following business lines: credit sales and trading (includes investment grade and high yield), distressed products, and loans. The role may also include cross-training in order to provide back-up coverage for the core rates desks which include governments (including the primary dealer), agencies, municipals, swaps, options, index/exchange traded funds (ETFs) and algo trading.

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
  • 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:
  • Extensive experience providing legal and/or compliance coverage to an origination, structuring, sales and/or trading desk at a broker/dealer that makes markets in one or more securitized products (e.g. ABS, CLOs, or CMBS) or structured credit transactions
  • A functional knowledge of the US fixed income and derivative trading regulatory framework, the '33 Act and the '34 Act, FINRA, SEC, and broker dealer regulations and US bank regulations
  • Ability to readily analyze complex transactions and assess an array of compliance considerations including information barriers, conflicts of interest, cross-border issues and market conduct/market abuse
  • An understanding of securitized products are how they are traded in the primary and secondary market
  • Ability to provide real-time guidance to the GCT platform on compliance matters including regulatory requirements
  • Ability to identify and escalate relationships or transactions that pose reputational risk to the Bank or create a conflict of interest


Your Skills and Experience:
  • Compliance or regulatory experience, preferably with a federal regulator or self-regulatory organization, or in a trading environment, risk management function, or law firm
  • Bachelor's degree, JD a plus
  • Strong knowledge of SEC and FINRA rules and regulations
  • Ability to project confidence and professionalism in all dealings with business personnel
  • Ability to make, support and defend difficult and complex regulatory/ compliance decisions in fast-paced trading floor environment


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.

New York, New York

Our vision

We aspire to be the leading client-centric global universal bank

We serve shareholders best by putting our clients first and by building a global network of balanced businesses underpinned by strong capital and liquidity.

We value our German roots and remain dedicated to our global presence.

We commit to a culture that aligns risks and rewards, attracts and develops talented individuals, fosters teamwork and partnership and is sensitive to the society in which we operate.

Our values and beliefs

Integrity

  • We live by the highest standards of integrity in everything we say and do
  • We will do what is right – not just what is allowed
  • We communicate openly; we invite, provide and respect challenging views

Sustainable Performance

  • We drive value for shareholders by putting long-term success over short-term gain
  • We encourage entrepreneurial spirit which responsibly balances risk and returns
  • We pursue lasting performance by developing, nurturing and investing in the best talent and by managing based on merit

Client Centricity

  • We earn our clients’ trust by placing them at the core of our organization
  • We deliver true value by understanding and serving our clients’ needs best
  • We strive to pursue mutually beneficial client relationships in which the value created is shared fairly

Innovation

  • We foster innovation by valuing intellectual curiosity in our people
  • We enable our clients’ success by constantly seeking suitable solutions to their problems
  • We continuously improve our processes and platforms by embracing new and better ways of doing things

Discipline

  • We protect the firm’s resources by always thinking and acting like owners
  • We live by the rules and hold ourselves accountable to deliver on our promises – no excuses
  • We achieve operational excellence by striving to ‘get it right the first time’

Partnership

  • We build diverse teams to generate better ideas and reach more balanced decisions
  • We put the common goals of the firm before ‘silo’ loyalty by trusting, respecting and working with each other
  • We act as responsible partners with all our stakeholders and regulators, and in serving the wider interests of society

Our brand

Deutsche is clear: we are here to perform – in business and beyond. We do this with a unique mix of passion and precision. This measured approach gives us the confidence to enable agile minds to look beyond the obvious, gaining advantage for everyone we work with.