International Private Bank Americas Senior Compliance Officer - Vice President

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Job description

Position Overview

Job Title: International Private Bank Americas Senior Compliance Officer

Corporate Title: Vice President

Location: New York, NY

Overview

You will work in the compliance department to provide oversight of Deutsche Bank's International Private Bank (IPB) Americas business. IPB is part of the wider Private Bank (PB) division of Deutsche Bank. Your responsibilities will involve all aspects of compliance support, including advising and providing guidance to multiple lines of business in a sophisticated full-service broker/dealer and private banking business, with a primary focus on providing compliance coverage to IPB's relationship managers and their support staff. You should understand key banking and broker-dealer regulations, including the relevant current and proposed industry and regulatory developments. You will also assist with compliance projects and ad-hoc requests to further strengthen the Bank's compliance programs.

What We Offer You:

• We offer competitive health and wellness benefits, empowering you to value life in and out of the office
• Retirement savings plans, parental leave, and other family-friendly programs
• An environment that encourages networking and collaboration across functions and businesses
• Active engagement with the local community through Deutsche Bank's specialized employee groups

Return to Office:

At this time, all individuals present in the location must be fully vaccinated for Covid-19

• It is the Bank's expectation that employees hired into this role will work in the New York 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

Hear from our people and look inside our office: Muse

Your Key Responsibilities:

• Providing compliance support to IPB's relationship managers and support staff (e.g., private bankers)
• Advising and consulting business/product management on relevant laws, regulations and firm policies and procedures
• Working with the business in the implementation of regulatory reform/rule change initiatives impacting the IPB business
• Reviewing new products, marketing materials and other forms of communications for regulatory compliance and adherence to firm standards;
• Conducting annual compliance risk assessments and compliance targeted reviews
• Working closely with other control groups such as legal, divisional control, audit and business supervisory functions to ensure coverage is comprehensive and consistent and that issues are appropriately addressed on a timely basis; Assisting with the content, implementation and delivery of compliance training

Your Skills and Experience:

• You will possess a solid understanding of SEC, FINRA and Federal Reserve regulations applicable to a private banking business servicing high net worth/ultra-high net worth professional, trusts, foundations, small institutions, etc. Experience with Regulation Best Interest is desirable
• Bachelor's degree or higher in related field of study; JD preferred; Minimum relevant experience
• Solid working knowledge of private banking/wealth management products and services
• Ability to work effectively with senior business management and staff within a matrixes organization and engage and provide pro-active advice
• Ability to engage others in open, honest dialogue and directly addresses conflict when it arises; Excellent Excel and PowerPoint skills

How You'll Lead:

• Strong team leadership and project management skills
• Strong stakeholder management

Our values define the working environment we strive to create - diverse, supportive and welcoming of different views. We embrace a culture reflecting a variety of perspectives, insights and backgrounds to drive innovation. We build talented and diverse teams to drive business results and encourage our people to develop to their full potential. Talk to us about flexible work arrangements and other initiatives we offer.
We promote good working relationships and encourage high standards of conduct and work performance. We welcome applications from talented people from all cultures, countries, races, genders, sexual orientations, disabilities, beliefs and generations and are committed to providing a working environment free from harassment, discrimination and retaliation.

Click here to find out more about diversity and inclusion.

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.