Compliance Officer – Head of Origination & Advisory – Director

Job Description:

Job Title Compliance Officer – Head of Origination & Advisory – Director

Corporate Title Director

Location New York, NY

Overview

As the Compliance Officer – Head of Origination & Advisory Director, you will lead a team and focus on providing real-time support to the Origination & Advisory (O&A) Coverage business. The O&A Coverage focuses on investment banking advisory engagements and capital markets products and services, including origination, structuring, execution, and syndication of securities offerings. This will involve advising on issues (questions, problems, or proposals) related to confidential information and information barriers, communications with the public-side of the Firm and external public-side investors, underwriting, marketing, and selling securities offerings, internal controls, supervision, and other issues that are typical for a large global investment bank.

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

• 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
• Perform testing and monitoring of compliance with firm policies and conduct risk assessments of the Business to ensure effective business control framework

How You’ll Lead

• Identify regulatory trends and developments that impact business areas, and advise staff as to how this may impact their current activities
• Advise senior business stakeholders across O&A on various firm policies and procedures and applicable securities laws and regulations

Skills You’ll Need

• Bachelors Degree or equivalent (JD or MBA a plus)
• Extensive securities experience, preferably in a global investment bank or law firm. Similar experience with a regulator will also be considered
• Experience in providing legal, regulatory or compliance advice in connection with investment banking advisory engagements and transactions is essential
• Strong knowledge of applicable U.S. securities laws, rules, and regulations

Skills That Will Help You Excel

• Excellent oral and written communication skills
• 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

Expectations

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.

The salary range for this position in New York City is $170,000 to $280,500. Actual salaries may be based on a number of factors including, but not limited to, a candidate’s skill set, experience, education, work location and other qualifications. Posted salary ranges do not include incentive compensation or any other type of renumeration.

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. Click here to find out more about our diversity and inclusion efforts.

We are an Equal Opportunity Employer - Veterans/Disabled and other protected categories.

Learn more about your life at DB through the eyes of our current 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].

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. We provide access to physical, emotional, and financial wellness benefits that allow our colleagues to stay financially secure and strike balance between work and home. Click here to learn more!

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

#LI-HYBRID

#LI-REMOTE

#LI-ONSITE

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.

Visit Inside Deutsche Bank to discover more about the culture of Deutsche Bank including Diversity, Equity & Inclusion, Leadership, Learning, Future of Work and more besides.

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.