Investment Bank Compliance Officer – Origination & Advisory - Vice President

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

Job summary

A leading global investment bank is seeking an Investment Bank Compliance Officer – Origination & Advisory at the Vice President level in New York. This role focuses on advising the Origination & Advisory business, ensuring compliance with regulations, and providing real-time support on various issues. The ideal candidate will have significant experience in compliance within the finance sector, strong communication skills, and a bachelor's degree, with a JD or MBA being a plus. This position offers a competitive salary and a culture that promotes diversity and inclusion.

Benefits

Competitive compensation packages

Health and wellbeing benefits

Retirement savings plans

Parental leave and family building benefits

Educational resources and matching gift programs

Qualifications

• Relevant experience of securities, preferably in a global investment bank or law firm.
• Experience in providing legal, regulatory or compliance advice.
• Knowledge of FINRA, SEC regulations and industry best practices.

Responsibilities

• Provide advisory services to the Origination & Advisory coverage business.
• Advise and train on firm policies, procedures, and applicable regulations.
• Participate in internal investigations and respond to regulatory inquiries.

Skills

Communication

Regulatory Compliance

Advisory Services

Risk Assessment

Education

Bachelor's degree

JD or MBA

Job description

Investment Bank Compliance Officer – Origination & Advisory - Vice President

J ob Title Investment Bank Compliance Officer – 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

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 and train 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

Participate in internal investigations, respond to regulatory inquiries, 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 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

Knowledge of FINRA, SEC, broker dealer regulations and other relevant bank regulations 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 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.

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.

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!

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.

The bank's network spans 58 countries with a large presence in Europe, the Americas and Asia.

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