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Regulatory Oversight Specialist

2 months ago

New York, New York, United States Deutsche Bank Full time

Job Overview:

Position Title: Regulatory Control Advisor/BAM

Corporate Title: Associate

Location: New York, NY

About Us

At Deutsche Bank, we are dedicated to assisting individuals and select institutions globally in safeguarding and enhancing their wealth. Our offerings encompass both traditional and alternative investments across diverse asset classes. We deliver tailored wealth management solutions and private banking services to affluent individuals and families. Our commitment to technology investment signifies our investment in your growth. As a Regulatory Control Advisor/BAM, you will play a crucial role in overseeing regulatory compliance concerning front office operations.

What We Provide

  • A welcoming and diverse environment that fosters innovation, collaboration, and adaptability
  • A flexible hybrid working model that supports both in-office and remote work, along with generous vacation and personal days
  • Employee Resource Groups that promote an inclusive workplace and community involvement
  • Competitive compensation packages featuring health and wellness benefits, retirement savings plans, parental leave, and family support programs
  • Access to educational resources, matching gift initiatives, and volunteer opportunities

Your Responsibilities

  • Oversee and ensure compliance of front office operations
  • Conduct research, draft, and coordinate responses for regional initiatives, regulatory examinations, compliance testing, internal audits, business risk evaluations, and system process improvements
  • Collaborate with stakeholders to enhance and scale existing control processes

Qualifications Required

  • Bachelor's degree with relevant experience in Regulatory and Brokerage functions within a complex banking environment, preferably in a supervisory or compliance role. Equivalent experience may be considered in lieu of a degree.
  • Possession of FINRA Series 7, 63, 24 or 9 & 10 licenses
  • Prior experience with regulatory, audit, and compliance assessments or a background in project management is advantageous
  • Experience in engaging with senior management is essential

Preferred Skills

  • Exceptional written and verbal communication abilities
  • Strong knowledge of complex investment products and banking services

Expectations

It is anticipated that employees in this role will adhere to the Bank's hybrid working model.

Deutsche Bank is committed to providing reasonable accommodations to candidates and employees with documented needs related to disability and/or religious practices.

The salary range for this position is $65,000 to $97,500, with actual salaries determined by various factors including skill set, experience, education, and other qualifications. Salary ranges do not encompass incentive compensation or other forms of remuneration.

Diversity and Inclusion at Deutsche Bank

We recognize that talent exists across all cultures, countries, races, ethnicities, genders, sexual orientations, disabilities, beliefs, generations, backgrounds, and experiences. We strive to create a workplace where everyone can be authentic and feel a sense of belonging. For more information on our diversity and inclusion initiatives, please visit our website.

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