Overview
The Compliance Department protects the Bank by advising on ethical conduct, identifying regulatory solutions, safeguarding integrity and reputation, and promoting, in partnership with the Business, a culture of Compliance. Given the increasing regulatory scrutiny and the need to implement a robust and globally consistent control framework, an effective information barrier within the Firm is a key component to the Department’s success.
Compliance is now seeking a Vice President within the Control Room function, depending on level of experience. The primary function of the role is to maintain the integrity of the Firm’s information barriers. The Control Room is a fast-paced role with exposure to many different businesses and transaction types while requiring a high level of responsibility and attention to detail in a teamwork dependent environment, A successful professional will need to be an accomplished multi-tasker, with ability to think through problems, interact appropriately with business colleagues at all levels, and take ownership of day-to-day tasks and projects on behalf of a team, The position will be based in Jacksonville, FL.
What We 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 Compliance support for the Control Room in the following areas:
- Maintenance of the Firm’s Watch and Restricted List
- Review and clearance of Research for publication
- Provide advice and guidance on legal, regulatory and compliance requirements as they relate to information barriers, conflicts of interest, offering rules, trade restrictions, and research
- Monitor changes in securities regulations and implement or update applicable policies and procedures
- Will need to be flexible on workday including maintaining access to work email and regular weekend coverage
How You’ll Lead
- Ability to make, support, and defend difficult and complex regulatory/compliance decisions in a fast-paced and high-pressured environment
- Ability to project confidence and professionalism in dealings with senior business personnel
- Excellent oral and written communication skills
Skills You’ll Need
- Bachelor’s degree required; JD also considered
- The successful candidate will have extensive of relevant industry exposure or professional experience
- Knowledge/background in investment banking products and application to the core Control Room functions, including confidential information, information barrier procedures and controls and insider trading rules
- Knowledge/experience with financial markets and an array of financial products (including stocks, bonds, equity/credit derivatives)
- Understanding of basic securities laws relating to research and insider trading rules
Skills That Will Help You Excel
- Analytical, process-oriented mindset
- Strong attention to detail, coupled with strong problem-solving skills
- A pro-active, results-oriented approach with strong drive and initiative
- Well-developed relationship-building skills, networking skills and communication/influencing skills
- Ability to manage multiple, deadline-oriented tasks in a fast-paced environment while at same time being able to contribute to team day-to-day responsibilities
Expectations
It is the Bank’s expectation that employees hired into this role will work in the Jacksonville, FL 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.
