FINRA-Qualified Principal for Regulatory Communications

Deutsche Bank AG; Jacksonville (FL); Hybrid; USD 75,000 - 110,000; Full time

Benefits offered by this job

Diverse and inclusive environment

Hybrid work model with in-office/tele-

Competitive compensation with health &

Retirement savings plans

Educational resources and volunteering

Job summary

Deutsche Bank AG is seeking a Marketing Review Officer to join the Private Bank’s Business Supervisory Office in Jacksonville, FL. The role focuses on reviewing and approving communications with the public, ensuring compliance with FINRA/SEC rules and internal policies.

You will liaise with Legal, Compliance and senior leaders, guiding disclosures, performance presentations, and campaigns while leveraging AI tools to improve workflows and maintain high standards of regulatory integrity.

Qualifications

• FINRA Series 24 experience as gatekeeper for communications with the public.
• Knowledge of SEC, FINRA, and EU/US regulatory frameworks.
• Ability to supervise content from broker/dealer and bank implementations.

Responsibilities

• Review and approve retail and institutional communications and marketing materials.
• Maintain and supervise Policies and Procedures (Written Supervisory Procedures, Key Operating Drivers).
• Provide regulatory guidance to stakeholders on disclosures and campaigns.

Skills

FINRA Series 24

Series 7

Regulatory oversight

AI tools usage

International client experience

English language

Tools

Regulatory/compliance systems

Job description

Deutsche Bank AG is seeking a Marketing Review Officer to join the Private Bank’s Business Supervisory Office in Jacksonville, FL. The role focuses on reviewing and approving communications with the public, ensuring compliance with FINRA/SEC rules and internal policies.

You will liaise with Legal, Compliance and senior leaders, guiding disclosures, performance presentations, and campaigns while leveraging AI tools to improve workflows and maintain high standards of regulatory integrity.