Deutsche Bank
Employee Compliance - Licensing and Registration - Assistant Vice President
Deutsche Bank, Jacksonville, Florida, United States, 32290
Job Title:
Employee Compliance - Licensing and RegistrationCorporate Title:
Assistant Vice PresidentLocation:
JacksonvilleOverview:Compliance is seeking an Assistant Vice President to work on our US Licensing and Registration team. You will be expected to co-manage the daily operations of registering internal employees/legal entities with Financial Industry Regulatory Authority (FINRA), NFA, Federal Reserve Bank (FRB) and state insurance regulators along with other projects as required for the US Region. The team is also responsible for performing an independent 2nd level control function and providing effective advice and tools as it pertains to registration related issues.What We Offer You:A 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:Manage the run-the-bank processes and teams relating to the US Licensing and Registration regionManage all aspects of registrations and ensure timely filings of the appropriate documentation with regulatorsPrepare weekly, monthly, and quarterly key metrics pertaining to US Licensing and Registration region activitiesProvide advice and counsel to business partners and ensure compliance on matters pertaining to licensing and registration related mattersDevelop criteria for gathering of business requirements for related projects, review functional requirements, participate in project meetings, perform user acceptance testing, manage post-implementation issues and system enhancementsEscalate and communicate clearly, both in writing and orally, with peers and Manager regarding issues encountered, questions, and any data irregularitiesSkills You'll Need:Minimum of a Bachelor's degree or equivalent work experienceModerate experience in compliance/broker-dealer support modelsStrong interpersonal and communication skills including ability to communicate professionally and effectively, while using discretion with sensitive and confidential dataExperience in process management and designPrior experience in FINRA registration or related industry experience is a plusSkills That Will Help You Excel:Proven ability to multitask and assess and change priorities in a fast-paced environmentExceptional organizational, writing, and communication skillsDetail-oriented with excellent organizational skillsForward-thinking and self-driven with the ability to see opportunities in challengesCapable of exercising sound judgment and good decision-making in managing riskExpectations:It is the Bank's expectation that employees hired into this role will work in the Jacksonville 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.Salary Range:
The salary range for this position in Jacksonville, FL is $75,000.00 to $110,750.00. Actual salaries may be based on a number of factors including a candidate's skill set, experience, education, work location, and other qualifications.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.We are an Equal Opportunity Employer - Veterans/Disabled and other protected categories.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.#LI-HYBRID#LI-ONSITE
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Employee Compliance - Licensing and RegistrationCorporate Title:
Assistant Vice PresidentLocation:
JacksonvilleOverview:Compliance is seeking an Assistant Vice President to work on our US Licensing and Registration team. You will be expected to co-manage the daily operations of registering internal employees/legal entities with Financial Industry Regulatory Authority (FINRA), NFA, Federal Reserve Bank (FRB) and state insurance regulators along with other projects as required for the US Region. The team is also responsible for performing an independent 2nd level control function and providing effective advice and tools as it pertains to registration related issues.What We Offer You:A 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:Manage the run-the-bank processes and teams relating to the US Licensing and Registration regionManage all aspects of registrations and ensure timely filings of the appropriate documentation with regulatorsPrepare weekly, monthly, and quarterly key metrics pertaining to US Licensing and Registration region activitiesProvide advice and counsel to business partners and ensure compliance on matters pertaining to licensing and registration related mattersDevelop criteria for gathering of business requirements for related projects, review functional requirements, participate in project meetings, perform user acceptance testing, manage post-implementation issues and system enhancementsEscalate and communicate clearly, both in writing and orally, with peers and Manager regarding issues encountered, questions, and any data irregularitiesSkills You'll Need:Minimum of a Bachelor's degree or equivalent work experienceModerate experience in compliance/broker-dealer support modelsStrong interpersonal and communication skills including ability to communicate professionally and effectively, while using discretion with sensitive and confidential dataExperience in process management and designPrior experience in FINRA registration or related industry experience is a plusSkills That Will Help You Excel:Proven ability to multitask and assess and change priorities in a fast-paced environmentExceptional organizational, writing, and communication skillsDetail-oriented with excellent organizational skillsForward-thinking and self-driven with the ability to see opportunities in challengesCapable of exercising sound judgment and good decision-making in managing riskExpectations:It is the Bank's expectation that employees hired into this role will work in the Jacksonville 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.Salary Range:
The salary range for this position in Jacksonville, FL is $75,000.00 to $110,750.00. Actual salaries may be based on a number of factors including a candidate's skill set, experience, education, work location, and other qualifications.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.We are an Equal Opportunity Employer - Veterans/Disabled and other protected categories.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.#LI-HYBRID#LI-ONSITE
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