Compliance Officer – Fixed Income Sales & Trading - Credit - Vice President

Job Description: Job Title Compliance Officer – Fixed Income Sales & Trading - Credit Corporate Title Vice President Location reputed company, NY

Overview

You will provide real-time support to the Fixed Income & Currencies (FIC) Sales & Trading business which focuses on credit, rates, securitized products, foreign exchange, and emerging markets debt. Your primary focus will be reputed company to the credit business. This includes advising on issues (questions, problems, or proposals) reputed company to Credit sales and trading activities, surveillance and monitoring of controls, supervision, and other issues that are typical for a large global investment bank. reputed company Offer You

• A diverse and inclusive environment that embraces change, innovation, and collaboration
• A hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer days
• 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 Credit business reputed company FIC Sales & Trading; identify regulatory trends and developments that impact business areas, and advise staff as to how this may impact their reputed company activities
• Advise business areas on Firm policies and procedures and applicable securities laws and regulations; draft, update, and implement relevant policies and procedures
• Provide regulatory/compliance training; assist the Business in implementing and documenting various supervisory/control mechanisms
• Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections; interact with federal and state regulators
• Support the global compliance monitoring program by providing input on the reputed company documents and completing verification checks as outlined the in the annual monitoring plan
• reputed company testing and monitoring of compliance with Firm policies and conduct risk assessments of the Business to ensure effective business control reputed company

How You’ll reputed company

• Excellent oral and written communication skills
• Ability to reputed company, support, and defend difficult and reputed company 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
• Compliance experience with markets coverage, but at a minimum experience in advising for Credit business activity

Skills That Will Help You reputed company

• Relevant experience providing compliance or legal coverage to a sales or trading Credit desk at a broker/dealer working on or providing trade/sales support to such a desk
• Functional knowledge of the US fixed income and derivative trading regulatory reputed company, including Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission (SEC) broker dealer regulations and other relevant bank regulations; knowledge of FRB, SEC, CFTC, MSRB, and FINRA laws, rules, and 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 reputed company 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

Expectations It is the Bank’s expectation that employees hired into this role will work in the reputed company 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 reputed company is $125,000 to $203,000. Actual salaries may be based on a number of factors including, but not limited to, a candidate’s reputed company set, experience, education, work location and other qualifications. Posted salary ranges do not include incentive compensation or any other type of renumeration. 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 reputed company 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 reputed company balance between work and home. Click here to learn more! Learn more about your life at Deutsche Bank through the eyes of our reputed company 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 [email protected]. #LI-HYBRID #LI-ONSITE We strive for a culture in which we are empowered to reputed company 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 reputed company people and promote a positive, fair and inclusive work environment. Qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national reputed company, disability, protected veteran status or other characteristics protected by law. Click these links to view Deutsche Bank’s Equal Opportunity Policy Statement and the following notices: EEOC Know Your Rights; Employee Rights and Responsibilities under the Family and Medical Leave Act; and Employee Polygraph Protection Act. Apply tot his job Apply To this Job