Compliance Officer – Investment Bank Compliance – Origination & Advisory – Vice President

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

Job summary

An established industry player is seeking a Compliance Officer to support their Origination & Advisory business. This role involves providing real-time advisory services, ensuring adherence to securities regulations, and advising on firm policies. The ideal candidate will have a strong background in compliance within investment banking, excellent communication skills, and the ability to navigate complex regulatory environments. With a hybrid working model and a commitment to diversity and inclusion, this opportunity offers a dynamic environment where your expertise will contribute to the firm's success. If you're ready to take on a challenging role that makes a real impact, this position is for you.

Benefits

Generous vacation days

Health and wellbeing benefits

Retirement savings plans

Parental leave

Family building benefits

Educational resources

Volunteer programs

Employee Resource Groups

Qualifications

• Experience in securities compliance, preferably in a global investment bank.
• Strong knowledge of FINRA, SEC regulations, and industry best practices.

Responsibilities

• Provide real-time advisory services to the Origination & Advisory coverage business.
• Advise on firm policies, procedures, and applicable securities laws.

Skills

Securities Regulations

Compliance Advisory

Legal Knowledge

Communication Skills

Regulatory Trends

Education

Bachelor's Degree

JD or MBA

Job description

Compliance Officer – Investment Bank Compliance – Origination & Advisory – Vice President

Compliance Officer – Investment Bank Compliance – Origination & Advisory – Vice President

Direct message the job poster from Deutsche Bank

Job Title Compliance Officer – Investment Bank Compliance – Origination & Advisory

Corporate Title Vice President

Location New York, NY

Overview

You will focus on providing real-time support to the Origination & Advisory business which focuses on investment banking advisory engagements and capital markets products and services, including origination, structuring, execution and syndication of securities offerings. This will involve advising on issues (questions, problems or proposals) related to confidential information and information barriers, communications with the public-side of the Firm. 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 the Origination & Advisory coverage business – this includes identifying regulatory trends and developments that impact business areas
• Advise business areas on firm policies and procedures and applicable securities laws and regulations
• Assist the business in implementing and documenting various supervisory/control mechanisms to develop relevant policies and procedures – this includes training
• Participate in internal investigations, respond to regulatory inquiries (this includes interaction with federal/state regulators), and coordinate internal and external audits and inspections
• 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
• Relevant experience of securities, 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 personnel

It is the Bank’s expectation that employees hired into this role will work in the Jacksonville 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 $125,000.00 to $203,000.00. 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.

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].

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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.

We are an Equal Opportunity Employer - Veterans/Disabled and other protected categories. Click these links to view the following notices: EEOC Know Your Rights; Employee Rights and Responsibilities under the Family and Medical Leave Act; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision.

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Accounting/Auditing

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