Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading – Credit - Vice [...]

Deutsche Bank; New York (NY); Hybrid; USD 125,000 - 203,000; Full time

Job summary

Deutsche Bank seeks a Compliance Officer for its New York office to provide real-time advisory support in Fixed Income Sales & Trading, primarily focusing on the Credit business. The ideal candidate will navigate complex regulatory landscapes while ensuring compliance with relevant laws and internal policies, fostering a collaborative environment.

Benefits

Hybrid working model

Generous vacation days

Health and wellbeing benefits

Retirement savings plans

Educational resources and matching gift programs

Qualifications

• Experience in compliance and credit business activities.
• Knowledge of US fixed income and regulatory framework.
• Ability to lead compliance training and implement policies.

Responsibilities

• Provide advisory services to FIC Sales & Trading.
• Advise on firm policies, update procedures, and conduct training.
• Engage with regulators during audits and inquiries.

Skills

Communication

Regulatory decision-making

Project confidence

Attention to detail

Education

Bachelor's degree or equivalent

JD or MBA a plus

Job description

Join to apply for the Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading – Credit - Vice President role at Deutsche Bank

2 weeks ago Be among the first 25 applicants

Join to apply for the Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading – Credit - Vice President role at Deutsche Bank

Get AI-powered advice on this job and more exclusive features.

Position Overview

Position Overview

Job Title Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading – Credit

Corporate Title Vice President

Location New York, NY

Overview

You will focus on providing real-time support to the FIC Sales & Trading business which focuses on credit, rates, securitized products, foreign exchange, and emerging markets debt. With primary focus on the Credit business, you will advise on issues (questions, problems, or proposals) related to Credit sales and trading activities, surveillance and monitoring of 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 the Credit business within Fixed Income & Currencies (FIC) Sales & Trading; 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 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
• Compliance experience with markets coverage, but at a minimum experience in advising for Credit business activity
  
  
  

Skills That Will Help You Excel

• Relevant experience providing compliance or legal coverage to a sales or trading Credit desk at a broker/dealer working on or providing trade/sales support to such a desk
• Functional knowledge of the US fixed income and derivative trading regulatory framework, the ’33 Act and the ’34 Act, Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), broker dealer regulations and other relevant bank regulations; knowledge of Fed, SEC, Commodity Futures Trading Commission (CFTC), MSRB, and FINRA laws, rules, and regulations as well as industry best practice
• 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 personnel
  
  
  

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 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 authentically 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!

Learn more about your life at Deutsche Bank through the eyes of our current employees https://careers.db.com/life

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 [e-mail] .

We strive for a culture in which we are empowered to excel together every day. This includes acting responsibly, thinking commercially, taking initiative and working collaboratively.

Together we share and celebrate the successes of our people. Together we are Deutsche Bank Group.

We welcome applications from all people and promote a positive, fair and inclusive work environment.

Qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, protected veteran status or other characteristics protected by law. Click these links to view "Deutsche Bank’s Equal Opportunity Policy Statement" and the following notices: "EEOC Know Your Rights" ; "Employee Rights and Responsibilities under the Family and Medical Leave Act" ; and "Employee Polygraph Protection Act" .

Seniority level

• Seniority level

  Not Applicable

Employment type

• Employment type

  Full-time

Job function

• Job function

  Legal

Referrals increase your chances of interviewing at Deutsche Bank by 2x

Get notified about new Compliance Officer jobs in New York, NY.

New York, NY $100,000.00-$135,000.00 1 day ago

Vice President, ESG Advisory Compliance Officer

New York City Metropolitan Area $120,000.00-$150,000.00 1 day ago

VP ESG/ Advisory (Financial Security) Compliance Officer

New York, NY $120,000.00-$150,000.00 1 week ago

Summit, NJ $75,000.00-$85,000.00 4 months ago

Compliance Officer, Lead Expert Networks

New York, NY $115,000.00-$190,000.00 2 days ago

New York, NY $130,000.00-$150,000.00 2 months ago

Analyst - AML (Anti-Money Laundering) Compliance

New York, NY $65,000.00-$85,000.00 1 week ago

Sr. Manager, Compliance & Sustainability

New York, NY $100,000.00-$120,000.00 1 hour ago

New York, NY $200,000.00-$250,000.00 1 day ago

Investments Compliance Officer – Portfolio Monitoring

Jersey City, NJ $94,800.00-$125,000.00 2 weeks ago

Whippany, NJ $161,000.00-$214,600.00 5 days ago

Corporate / Board Secretary - Vice President

New York, NY $170,000.00-$254,500.00 13 hours ago

Manager, Risk, Compliance & Strategic Initiatives

New York, NY $74,000.00-$77,000.00 1 week ago

Central Compliance and Strategy Senior Manager

New York, NY $124,800.00-$214,500.00 3 days ago

Vice President, Chief Compliance Officer

New York, NY $80,000.00-$95,000.00 6 days ago

New York, NY $110,000.00-$140,000.00 5 days ago

New York, NY $77,000.00-$100,000.00 1 week ago

New York, NY $140,000.00-$160,000.00 2 weeks ago

New York, NY $130,000.00-$150,000.00 2 weeks ago

Director - Regulatory Operations Compliance

New York City Metropolitan Area $175,000.00-$200,000.00 2 weeks ago

Director of Government Contracts & Quality Assurance

New York, NY $90,000.00-$100,000.00 1 week ago

VP - Legal & Compliance (Financial Services)

New York City Metropolitan Area $175,000.00-$225,000.00 2 days ago

Compliance & Consumer Protection Senior Manager

New York, NY $132,500.00-$302,400.00 1 week ago

Safety and Security Officer 1 / Trainee, (NY HELPS), South Beach Psychiatric Center, P26158

Senior Compliance Officer of Independent Risk Management, Senior Vice President

New York, NY $225,000.00-$337,500.00 4 months ago

New York, NY $80,000.00-$155,000.00 1 week ago

Senior Compliance Risk Manager - Product Compliance, Personal Banking

Investment Bank & Americas Sanctions Advisory Specialist - Vice President

New York, NY $125,000.00-$203,000.00 2 weeks ago

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.