International Private Bank Americas Senior Compliance Officer - Vice President - Military Veterans

at Deutsche Bank

New York, New York

Position Overview

Job Title: International Private Bank Americas Senior Compliance Officer

Corporate Title: Vice President

Location: New York, NY

Overview

You will work in the compliance department to provide oversight of Deutsche Bank's International Private Bank (IPB) Americas business. IPB is part of the wider Private Bank (PB) division of Deutsche Bank. Your responsibilities will involve all aspects of compliance support, including advising and providing guidance to multiple lines of business in a sophisticated full-service broker/dealer and private banking business, with a primary focus on providing compliance coverage to IPB's relationship managers and their support staff. You should understand key banking and broker-dealer regulations, including the relevant current and proposed industry and regulatory developments. You will also assist with compliance projects and ad-hoc requests to further strengthen the Bank's compliance programs.

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


Return to Office:

At this time, all individuals present in the location must be fully vaccinated for Covid-19
  • It is the Bank's expectation that employees hired into this role will work in the New York 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


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

Your Key Responsibilities:
  • Providing compliance support to IPB's relationship managers and support staff (e.g., private bankers)
  • Advising and consulting business/product management on relevant laws, regulations and firm policies and procedures
  • Working with the business in the implementation of regulatory reform/rule change initiatives impacting the IPB business
  • Reviewing new products, marketing materials and other forms of communications for regulatory compliance and adherence to firm standards;
  • Conducting annual compliance risk assessments and compliance targeted reviews
  • Working closely with other control groups such as legal, divisional control, audit and business supervisory functions to ensure coverage is comprehensive and consistent and that issues are appropriately addressed on a timely basis; Assisting with the content, implementation and delivery of compliance training


Your Skills and Experience:
  • You will possess a solid understanding of SEC, FINRA and Federal Reserve regulations applicable to a private banking business servicing high net worth/ultra-high net worth professional, trusts, foundations, small institutions, etc. Experience with Regulation Best Interest is desirable
  • Bachelor's degree or higher in related field of study; JD preferred; Minimum relevant experience
  • Solid working knowledge of private banking/wealth management products and services
  • Ability to work effectively with senior business management and staff within a matrixes organization and engage and provide pro-active advice
  • Ability to engage others in open, honest dialogue and directly addresses conflict when it arises; Excellent Excel and PowerPoint skills


How You'll Lead:
  • Strong team leadership and project management skills
  • Strong stakeholder management


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.

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