Investment Bank Compliance Officer – Origination & Advisory - Vice President

at  Deutsche Bank

POSITION OVERVIEW

Job Title Investment Bank Compliance Officer – Origination & Advisory
Corporate Title Vice President
Location New York, NY

SKILLS YOU’LL NEED

• Bachelor’s degree or equivalent; JD or MBA a plus
• Moderate experience of securities, preferably in a global investment bank or law firm. Similar experience with a regulator will also be considered

SKILLS THAT WILL HELP YOU EXCEL

• Experience in providing legal, regulatory or compliance advice in connection with investment banking advisory engagements and transactions is essential
• Functional 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 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 within 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

• Provide real-time advisory services to the Origination & Advisory coverage business – this includes identifying regulatory trends and developments that impact business areas
• Advise business areas on firm policies and procedures and applicable securities laws and regulations
• Assist the business in implementing and documenting various supervisory/control mechanisms to develop relevant policies and procedures – this includes training
• Participate in internal investigations, respond to regulatory inquiries (this includes interaction with federal/state regulators), and coordinate internal and external audits and inspections
• Support the global compliance monitoring program by providing input on the framework documents and completing verification checks as outlined the in the annual monitoring plan
• Perform testing and monitoring of compliance with firm policies and conduct risk assessments of the business to ensure effective business control framework