Deutsche Bank
Investment Bank Compliance Officer - Origination & Advisory - Vice President
Deutsche Bank, New York, New York, us, 10261
Job Description:
Job 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 Coverage 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 and 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 YouA diverse and inclusive environment that embraces change, innovation, and collaborationA hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer daysEmployee Resource Groups support an inclusive workplace for everyone and promote community engagementCompetitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefitsEducational resources, matching gift and volunteer programsWhat You'll Do
Provide real-time advisory services to the Origination & Advisory coverage business - this includes identifying regulatory trends and developments that impact business areasAdvise business areas on firm policies and procedures and applicable securities laws and regulationsAssist the business in implementing and documenting various supervisory/control mechanisms to develop relevant policies and procedures - this includes trainingParticipate in internal investigations, respond to regulatory inquiries (this includes interaction with federal/state regulators), and coordinate internal and external audits and inspectionsSupport the global compliance monitoring program by providing input on the framework documents and completing verification checks as outlined the in the annual monitoring planPerform testing and monitoring of compliance with firm policies and conduct risk assessments of the business to ensure effective business control frameworkHow You'll Lead
Excellent oral and written communication skillsAbility to make, support, and defend difficult and complex regulatory/compliance decisions in a fast-paced and high-pressured environmentAbility to project confidence and professionalism in dealings with senior business personnelSkills You'll Need
Bachelor's degree or equivalent; JD or MBA a plusModerate experience of securities, preferably in a global investment bank or law firm. Similar experience with a regulator will also be consideredSkills That Will Help You Excel
Experience in providing legal, regulatory or compliance advice in connection with investment banking advisory engagements and transactions is essentialFunctional 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 practicesStrong 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 functionsAction-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 prioritiesAbility to project confidence and professionalism in dealings with senior business personnel
Expectations
It is the Bank's expectation that employees hired into this role will work in the New York City 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 renumeration.
Deutsche Bank Values & Diversity
We believe talent is found in all cultures, countries, races, ethnicities, genders, sexual orientations, disabilities, beliefs, generations, backgrounds and experiences. We pursue a working environment where everyone can be authentic and feel a sense of belonging. Click here to find out more about our diversity and inclusion efforts.
We are an Equal Opportunity Employer - Veterans/Disabled and other protected categories. Click these links to view the following notices: EEO is the Law poster and supplement; Employee Rights and Responsibilities under the Family and Medical Leave Act; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision
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 HR.Direct[redacted]
Deutsche Bank Benefits
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!
#LI-HYBRID
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: EEO is the Law poster and supplement; Employee Rights and Responsibilities under the Family and Medical Leave Act; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision.
Job 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 Coverage 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 and 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 YouA diverse and inclusive environment that embraces change, innovation, and collaborationA hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer daysEmployee Resource Groups support an inclusive workplace for everyone and promote community engagementCompetitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefitsEducational resources, matching gift and volunteer programsWhat You'll Do
Provide real-time advisory services to the Origination & Advisory coverage business - this includes identifying regulatory trends and developments that impact business areasAdvise business areas on firm policies and procedures and applicable securities laws and regulationsAssist the business in implementing and documenting various supervisory/control mechanisms to develop relevant policies and procedures - this includes trainingParticipate in internal investigations, respond to regulatory inquiries (this includes interaction with federal/state regulators), and coordinate internal and external audits and inspectionsSupport the global compliance monitoring program by providing input on the framework documents and completing verification checks as outlined the in the annual monitoring planPerform testing and monitoring of compliance with firm policies and conduct risk assessments of the business to ensure effective business control frameworkHow You'll Lead
Excellent oral and written communication skillsAbility to make, support, and defend difficult and complex regulatory/compliance decisions in a fast-paced and high-pressured environmentAbility to project confidence and professionalism in dealings with senior business personnelSkills You'll Need
Bachelor's degree or equivalent; JD or MBA a plusModerate experience of securities, preferably in a global investment bank or law firm. Similar experience with a regulator will also be consideredSkills That Will Help You Excel
Experience in providing legal, regulatory or compliance advice in connection with investment banking advisory engagements and transactions is essentialFunctional 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 practicesStrong 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 functionsAction-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 prioritiesAbility to project confidence and professionalism in dealings with senior business personnel
Expectations
It is the Bank's expectation that employees hired into this role will work in the New York City 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 renumeration.
Deutsche Bank Values & Diversity
We believe talent is found in all cultures, countries, races, ethnicities, genders, sexual orientations, disabilities, beliefs, generations, backgrounds and experiences. We pursue a working environment where everyone can be authentic and feel a sense of belonging. Click here to find out more about our diversity and inclusion efforts.
We are an Equal Opportunity Employer - Veterans/Disabled and other protected categories. Click these links to view the following notices: EEO is the Law poster and supplement; Employee Rights and Responsibilities under the Family and Medical Leave Act; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision
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 HR.Direct[redacted]
Deutsche Bank Benefits
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!
#LI-HYBRID
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: EEO is the Law poster and supplement; Employee Rights and Responsibilities under the Family and Medical Leave Act; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision.