Markets Compliance Officer - Equity Sales and Trading - Assistant Vice President

Markets Compliance Officer - Equity Sales and Trading - Assistant Vice President

Job ID: 3179531
Full/Part-Time: Full-time
Regular/Temporary: Regular
Listed: 2018-10-17
Location: New York, United States of America

Regulation, Compliance & Anti-Financial Crime

Regulation, Compliance and Anti-Financial Crime (AFC) protects the integrity and reputation of Deutsche Bank. It manages the Bank's risks and help to avert unintentional rule breaches and conflicts of interest. At the same time, we also advise the bank on ethical conduct and governance issues and keep the bank up to date on regulatory and political challenges.

Position Overview

Job Title: Markets Compliance Officer - Equity Sales and Trading
Corporate Title: Assistant Vice President
Location: New York, New York

About Deutsche Bank

We are Germany's leading bank with strong positions in Europe and significant presence in the Americas and Asia Pacific. We're driving growth through our strong client franchise, investing heavily in digital technologies, prioritizing long-term success over short-term gains, and serving society with ambition and integrity. We serve our clients' real economic needs in commercial and investment banking, retail banking and transaction banking, and provide ground-breaking products and services in asset and wealth management. That means a career packed with opportunities to grow and the chance to shape the future of our clients.

You will be responsible for providing support of the Compliance program for the Equity Sales and Trading business within the Global Markets Equities Division.

You should have a solid understanding of the US equity markets, including relevant current and proposed industry and regulatory developments. Knowledge of the rules governing communications with the public, suitability, cross-border requirements and information barriers is essential. In addition, you should be familiar with the US rules governing equity trading and other key rules and regulations (e.g., Volcker, Market Access Rule, Reg SHO, Reg NMS, FINRA Rule 5270, FINRA Trade Reporting Rules, etc.)

Responsibilities will involve all aspects of compliance support, including advising and providing guidance to the Equities Sales and Trading platform of a sophisticated full service broker/dealer oriented toward Institutional clients.

You will also:

  • Assess regulatory/compliance controls related to areas of coverage. This would include providing clear and understandable advice and guidance to interested parties, and drafting and delivering Compliance training on these topics
  • Analyze proposed and new rules in addition to market and internal developments and provide advice and guidance, as may be required. Additionally, play an advocacy role representing the Firm in industry efforts (e.g., SIFMA, FIF, etc.) as they pertain to equities and related developments
  • Develop and enhance Compliance policies and procedures and coordinate with global colleagues in developing global standards for cross-border activity
  • Assist in the preparation of Compliance reports for Compliance Management, Senior Management, Executive Committees, and Risk Committees etc. as required

In addition to the above, responsibilities include:
  • Identifying regulatory trends and developments, advising business staff as to how this may impact their current activities and working with supervisors to implement any required changes to current policy / practice
  • Drafting and updating Compliance policies and procedures
  • Participating in internal investigations, assisting in responding to regulatory inquiries, and coordinating internal and external audits and inspections
  • Interacting with regulatory agencies and exchanges
  • Performing periodic risk assessments of the business
  • Providing regulatory/compliance training as needed

  • Bachelor's Degree required; JD or MBA a plus but not required
  • Relevant compliance experience, preferably at a major international securities firm
  • Experience in providing regulatory or compliance advice in domestic and international markets is essential
  • 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
  • Ability to influence and demonstrate confidence when interfacing with salespersons and traders
  • Intuitive, energetic, and self-motivated
  • Ability to effectively collaborate with multiple stakeholders including Legal, Internal Audit, Risk Management and other internal business partners

For candidates applying for positions in the US:

Deutsche Bank is an Equal Opportunity Employer - Veterans/Disabled and other protected categories. Click these links to view the "EEO is the Law" poster and pay transparency statement.

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