Finance Talent Hub | Launch & Scale Your Own Online Course to Six Figures

Deutsche Bank

Compliance Officer - Investment Bank Compliance - Fixed Income Sales & Trading - Rates and FX

Deutsche Bank is a leading global financial institution committed to fostering economic growth and societal progress. Our Fixed Income & Currencies (FIC) Sales & Trading division focuses on credit, rates, securitized products, foreign exchange (FX), and emerging markets debt. We are seeking a dedicated Compliance Officer to provide real-time support to our Rates and FX businesses.

Role Overview:
The Compliance Officer will provide real-time advisory services to the Rates and FX businesses within FIC Sales & Trading. This role involves advising on issues related to sales and trading activities, surveillance and monitoring of controls, supervision, and other matters typical for a large global investment bank.

Key Responsibilities:

Provide real-time advisory services to the Rates and FX businesses within FIC Sales & Trading.
Identify regulatory trends and developments that impact business areas and advise staff on potential implications.
Advise business areas on firm policies, procedures, and applicable securities laws and regulations.
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.
Support the global compliance monitoring program by providing input on framework documents and completing verification checks as outlined in the annual monitoring plan.
Perform testing and monitoring of compliance with firm policies and conduct risk assessments to ensure an effective business control framework.

Qualifications:

Bachelor's degree or equivalent; JD or MBA is a plus.
Significant experience with fixed income products, including FX, credit, and rates, with a minimum of experience advising on Rates and FX business activity.
Familiarity with Primary Dealer activities and obligations.
Familiarity with the FX Global Code.
Relevant experience providing compliance or legal coverage to a sales or trading Rates or FX desk at a broker/dealer or providing trade/sales support to such a desk.
Functional knowledge of the U.S. fixed income and derivative trading regulatory framework, including the '33 Act and the '34 Act, FINRA, SEC, broker-dealer regulations, and other relevant bank regulations.
Knowledge of Fed, SEC, CFTC, MSRB, and FINRA laws, rules, and regulations, as well as industry best practices.
Strong written and verbal communication and presentation skills, with the ability to effectively influence others and engage senior stakeholders.
Ability to foster collaboration among Compliance, the Business, and other infrastructure functions.
Action-oriented and delivery-focused with a disciplined approach and an ability to be proactive, work under pressure, and meet tight deadlines while maintaining accuracy, showing initiative, and reacting quickly to changes in priorities.
Ability to project confidence and professionalism in dealings with senior business personnel.

Compensation:
The salary range for this position in New York City is $125,000 to $203,000. Actual salaries may be based on 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 remuneration.

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 that 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.

Deutsche Bank provides reasonable accommodations to candidates and employees with a substantiated need based on disability and/or religion.

Join our team and contribute to delivering exceptional compliance services to our valued clients. Apply today to advance your career in a dynamic and supportive environment.

Interested in this job ?

Thrive in a supportive, innovative, and rewarding environment.

Apply Now

Discover our other opportunities

Browse all

Associate Director – Liquidity Planning & Coverage Treasury

London, UK
Full Time

Deutsche Bank

Compliance Officer - Investment Bank Compliance - Fixed Income Sales & Trading - Rates and FX

Interested in this job ?

Discover our other opportunities

Associate Director – Liquidity Planning & Coverage Treasury

Analyst – Asset Tracing & Complex Investigations

Senior Tax Specialist – VAT (Banking)

Head of Transfer Pricing

Transaction Services Manager

FIG M&A Analyst (1-2) – Boutique Investment Bank (German Speaker Required)

Vice President – TMT Finance

Longevity Risk Actuary

Director – Infrastructure Structured Finance (EMEA)

Private Debt Origination Manager – Structured Credit

Private Equity Relationship Associate Director

Head of Private Markets Tax

Senior Finance Manager / Financial Controller

Private Markets Tax Manager

Compliance Officer – Financial Crime

Investment Analyst – Secondaries (Top-Tier Investment Manager)

Reporting Actuary

Vice President – FX Sales (Financial Sponsors Coverage)

Credit & Underwriting Manager – Property Development Finance

Finance Manager – Investment Management

Infrastructure Debt Associate

Associate – Infrastructure Advisory

Associate – Private Capital Advisory (Leading Investment Bank)

HR & Payroll Advisor

Product Taxes Manager

Product Taxes Manager

Investment Manager – Growth-Focused Private Equity Investor

Compliance Consultant – PWM/Advisor/Buy-Side Experience

Analyst – Renewable Energy Investment Banking (M&A)

Business Development Manager

Analyst – Secondaries Advisory (Global Investment Bank)

Senior Accounting Controller

Vice President – Financial Restructuring

Financial Analyst – Corporate Finance (Technology)

Senior Manager – Corporate Tax Advisory

Senior Associate – Corporate Finance (Technology)

Vice President – Corporate Finance (Industrials)

Investment Associate – Global Private Equity Secondaries Fund

European Tax Director

Associate – Capital Markets Advisory

Analyst – European Debt Advisory

Business Development Manager – Fund Manager

Branch Office Administrator - Granby, QC

Office Business Development Manager – Leading Provider of Innovative Financial Solutions

Compliance Advisory – ECM, M&A, and Corporate Finance

Transaction Services Manager – Financial Advisory

Senior Advisor – Market Development (Financial Services)

Transaction Advisory Manager – Asset Management Finance

Director – Transaction Advisory Services (Financial Due Diligence)

Director – Transaction Advisory Services (Accounting & Financial Reporting)

Assistant Manager – M&A Advisory (Financial Services)

Investment Banking Analyst – Financial Institutions M&A (US Advisory Focus)

M&A Senior Associate/Manager – Leading Corporate Finance Advisory

Experienced Financial Advisor – US Market Focus (London, UK)

CA Experienced Financial Advisor

Financial Advisor - Ottawa, ON (Area 19, Region 105)

CA Financial Advisor - Windsor, ON - Area 19, Region 141

CA Financial Advisor - Toronto, ON - Area 19, Region 106

CA Financial Advisor - Pickering, ON - Area 19, Region 232

US EG Financial Advisor Region 188

CA Financial Advisor - Sherwood Park, AB - Market 14, Region 187

CA Financial Advisor - Markham, ON - Market 19, Region 232

CA Financial Advisor - Mississauga, ON - Market 19, Region 106

CA Financial Advisor - Edmonton, AB - Market 14, Region 187

Engagement Manager – Internal Consulting (Vice President)

Financial Advisor

Financial Advisor

Financial Advisor – Hybrid (New Jersey)

Financial Advisor

Financial Advisor – Hybrid

Financial Advisor

Financial Advisor

Financial Advisor – Hybrid (New Jersey)

Financial Advisor – Hybrid (Brooklyn, Queens, Long Island)

Technology Auditor – Compliance, AFC, Central Functions

Financial Advisor