Compliance Team Lead for Private Bank Americas – Senior Compliance Officer - Vice President
About the position
You will work in the Compliance Department to provide oversight of Deutsche Bank's Private Bank (PB) Americas as the senior business line compliance officer for Jacksonville operations. Responsibilities will involve all aspects of Compliance support, including advising and providing guidance to multiple lines of business of a sophisticated full-service broker/dealer and banking business. You should understand key banking and broker-dealer regulations, including the relevant current and proposed industry and regulatory developments. The role will also involve assisting with Compliance projects and ad-hoc requests to further strengthen the Bank's compliance programs.
Responsibilities
• Advise and consult PB’s Structured and Residential Lending businesses on applicable state and federal laws, regulations, firm policies, and procedures, including researching legal applicability as needed
• Coordinate and support the implementation of regulatory reform initiatives, conduct compliance risk assessments and targeted reviews, and monitor business activities for adherence to key regulations
• Review new products, marketing materials, and other communications to ensure regulatory compliance and alignment with firm standards
• Support regulatory examinations and inquiries, including managing requests, preparing responses, and ensuring timely issue resolution
• Assist with the development, implementation, and delivery of compliance training, and collaborate closely with Legal, Divisional Control, Audit, and business supervisory functions to ensure comprehensive and consistent coverage
• Complete monthly reporting, support local office projects and initiatives, and serve as the onsite Compliance Manager for PB’s Jacksonville office, including managing direct report(s)
• Managing independent oversight of the PB Customer Complaints process
• Provide leadership for the Compliance Team in Jacksonville and serve as the main point of coverage for the Miami and Jacksonville offices
• Providing additional compliance support, as needed, for Coverage businesses, including relationship, and investment management
Requirements
• Bachelor's degree required, preferably in Finance, Business, or Accounting; JD or MBA is a plus
• Exceptional leadership and decision-making abilities, strong analytical skills, and excellent communication and interpersonal skills
• Providing additional compliance support, as needed, for Coverage businesses, including relationship and investment management
Nice-to-haves
• Certified Regulatory Compliance Manager Certification (CRCM) desired
• Securities or banking experience, preferably in a global investment bank; similar experience with a regulator will also be considered
• Experience in providing legal, regulatory, or compliance advice in connection with a private bank or trust company
• Strong knowledge of applicable laws, rules, and regulations
• Experience interacting with various regulatory bodies, such as the Federal Reserve Bank, Federal Deposit Insurance Corporation and Outbound Control Centers, particularly with examinations
Benefits
• 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 gifts and volunteer programs
Apply tot his job
Apply To this Job
You will work in the Compliance Department to provide oversight of Deutsche Bank's Private Bank (PB) Americas as the senior business line compliance officer for Jacksonville operations. Responsibilities will involve all aspects of Compliance support, including advising and providing guidance to multiple lines of business of a sophisticated full-service broker/dealer and banking business. You should understand key banking and broker-dealer regulations, including the relevant current and proposed industry and regulatory developments. The role will also involve assisting with Compliance projects and ad-hoc requests to further strengthen the Bank's compliance programs.
Responsibilities
• Advise and consult PB’s Structured and Residential Lending businesses on applicable state and federal laws, regulations, firm policies, and procedures, including researching legal applicability as needed
• Coordinate and support the implementation of regulatory reform initiatives, conduct compliance risk assessments and targeted reviews, and monitor business activities for adherence to key regulations
• Review new products, marketing materials, and other communications to ensure regulatory compliance and alignment with firm standards
• Support regulatory examinations and inquiries, including managing requests, preparing responses, and ensuring timely issue resolution
• Assist with the development, implementation, and delivery of compliance training, and collaborate closely with Legal, Divisional Control, Audit, and business supervisory functions to ensure comprehensive and consistent coverage
• Complete monthly reporting, support local office projects and initiatives, and serve as the onsite Compliance Manager for PB’s Jacksonville office, including managing direct report(s)
• Managing independent oversight of the PB Customer Complaints process
• Provide leadership for the Compliance Team in Jacksonville and serve as the main point of coverage for the Miami and Jacksonville offices
• Providing additional compliance support, as needed, for Coverage businesses, including relationship, and investment management
Requirements
• Bachelor's degree required, preferably in Finance, Business, or Accounting; JD or MBA is a plus
• Exceptional leadership and decision-making abilities, strong analytical skills, and excellent communication and interpersonal skills
• Providing additional compliance support, as needed, for Coverage businesses, including relationship and investment management
Nice-to-haves
• Certified Regulatory Compliance Manager Certification (CRCM) desired
• Securities or banking experience, preferably in a global investment bank; similar experience with a regulator will also be considered
• Experience in providing legal, regulatory, or compliance advice in connection with a private bank or trust company
• Strong knowledge of applicable laws, rules, and regulations
• Experience interacting with various regulatory bodies, such as the Federal Reserve Bank, Federal Deposit Insurance Corporation and Outbound Control Centers, particularly with examinations
Benefits
• 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 gifts and volunteer programs
Apply tot his job
Apply To this Job