Jobs at Deutsche Bank – Infrastructure Compliance Officer

Job Description:

You will work in compliance oversight of Deutsche Bank’s infrastructure divisions, including but not limited to Finance, Operations, Risk, and Technology. Responsibilities will involve all aspects of compliance support, including advising and providing review and challenge to multiple infrastructure divisions of a sophisticated full service broker/dealer and bank relating business. In particular, you will focus on the areas of enterprise risk management, outsourcing/vendor risk management, e-communications, customer complaints, and record retention. You should have an understanding of investment banks or broker-dealers, including the relevant current and proposed industry and regulatory developments. The role will also involve assisting New York staff with compliance projects and ad-hoc requests to further strengthen the Bank’s compliance.

Job Responsibilities:

• Assist with the establishment of an appropriate control framework tailored to the activities of a specific infrastructure division
• Perform periodic risk assessments of infrastructure divisions and support periodic compliance testing on infrastructure division operations in
• Jacksonville and provide regulatory/compliance training as needed
• Participate in internal and external investigations, assisting in response to regulatory inquiries, and coordinate internal and external audits and inspections
• Develop and enhance compliance policies and procedures and coordinate with global colleagues in developing global standards
• Identify regulatory trends and developments, advise infrastructure division staff as to how this may impact their current activities and work with supervisors to implement any required changes to current policy / practice
• Assist in the preparation of compliance reports for compliance management, senior management, executive committees, and risk committees as required

Job Requirements:

• University degree required, preferably in finance, business or accounting; JD preferred
• Relevant compliance experience, preferably at a major national or global securities firm or regulator or relevant business experience in working in investment bank or broker-dealer is preferred
• Experience working in compliance or a similar financial services risk management function a strong plus
• Securities licenses are preferred but not required
• Ability to work independently with a minimum of supervision

Job Details:

Company: Deutsche Bank

Vacancy Type:  Full Time

Job Location: Miami, FL, US

Application Deadline: N/A

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