Deutsche Bank Jobs – Compliance Officer

Website Deutsche Bank

Job Description:

Deutsche Bank Compliance is seeking to hire a highly motivated professional to assist in providing primary compliance oversight for its Credit Sales & Trading and Core Rates businesses and secondary compliance coverage for its Global Credit Financing & Solutions businesses within the Fixed Income Division.

Job Responsibilities:

  • Analyze proposed and enacted regulations and determine impact to supported Fixed Income business lines
  • Conduct periodic risk assessments of the Core Rates and Flow Credit business lines and their control frameworks
  • Develop and enhance compliance policies and procedures and coordinate with global colleagues in developing global standards
  • Assist with the establishment of an appropriate control framework tailored to the activities of the specific Core Rates & Municipals and Flow Credit business lines
  • Develop and deliver compliance training on appropriate topics

Job Requirements:

  • Experience providing compliance or legal coverage of a sales or trading desk at a broker/dealer or working on or providing trade/sales support to such a desk
  • Ability to identify and escalate relationships or trades which pose reputational risk to Deutsche Bank or create a conflict of interest. Ability to make, support and defend difficult and complex regulatory and/or compliance decisions in a fast-paced and high-pressured environment
  • Ability to provide real-time guidance to the Core Rates and Flow Credit platforms on compliance matters including regulatory requirements
  • Ability to readily analyze complex transactions and assess an array of compliance considerations including information barriers, conflicts of interest, cross-border issues and market conduct/market abuse
  • Functional knowledge of the US fixed income and derivative trading regulatory framework, the ’33 Act and the ’34 Act, FINRA, SEC, broker dealer regulations and other relevant bank regulations
  • A detailed understanding of how securitized products are traded (knowledge of front-office trading applications and TRACE report requirements). A JD degree from an accredited institution

Job Details:

Company: Deutsche Bank

Vacancy Type: Full Time

Job Location: New York, NY, US

Application Deadline: N/A

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