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Compliance Officer

2 months ago

New York, New York, United States Deutsche Bank Full time
About the Role

We are seeking a highly skilled and experienced professional to join our Compliance Department as an Assistant Vice President within the Control Room function. The successful candidate will be responsible for maintaining the integrity of our Firm's information barriers, ensuring compliance with regulatory requirements, and promoting a culture of integrity and transparency.

Key Responsibilities
  • Maintenance of the Firm's Watch and Restricted List
  • Review and clearance of Research for publication
  • Monitor changes in securities regulations
  • Implement or update applicable policies and procedures
Requirements
  • Bachelor's degree required; JD also considered
  • Relevant industry exposure or professional experience
  • Knowledge/background in investment banking products and application to the core Control Room functions
  • Understanding of basic securities laws relating to research and insider trading rules
What We Offer
  • A diverse and inclusive environment that embraces change, innovation, and collaboration
  • A hybrid working model, allowing for in-office / work from home flexibility
  • Competitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefits
  • Employee Resource Groups support an inclusive workplace for everyone and promote community engagement
Deutsche Bank Values

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.