New York, New York

Position Overview

Job Title: Compliance Officer-International Private Bank

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 Capital Markets Sales and Trading, Funds & Solutions; LatAm; and the Investment Sales groups within IPB. You should have extensive knowledge of banking and securities laws and a firm understanding of cross-border regulation.

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

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


Your Key Responsibilities:
  • Advising business professionals on regulatory and compliance requirements; Drafting, updating, and ensuring effective implementation of policies and procedures
  • Evaluating new products and business opportunities; conducting an annual risk assessment of the Business' controls against applicable regulations
  • Preparing and conducting compliance training presentations for business personnel, including the annual compliance presentation and specialized training on new regulations, products or policies; planning and executing significant projects to establish or enhance compliance and supervisory controls
  • Researching and responding to regulatory inquiries and examinations; working on a variety of special projects and global initiatives
  • Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced and high-pressured environment
  • Assist with compliance projects and ad-hoc requests to further strengthen the Bank's compliance programs


Your Skills and Experience:
  • You must have in-depth knowledge of SEC, CFTC, NFA and FINRA broker-dealer regulations, and the regulatory environment, particularly with respect to complex capital markets products, private markets, and non-conventional or alternative investments
  • Helpful experience or knowledge would include work at a regulatory agency or self-regulatory organization or work in a regulatory, legal, compliance or business capacity on capital markets, private markets, and/or alternative and non-conventional investments
  • A background in financial services or securities regulation is required; Series 7 license is preferred
  • You will have: excellent written and verbal communication skills; a strong work ethic and a passion for high performance, self-motivation, high energy, excellent interpersonal skills, proficiency with PC applications, the highest standards of integrity and ethical judgment, and a minimum relevant experience preferably at a major national or global securities firm, regulatory organization, or law firm


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.