Compliance Officer – Investment Bank Compliance | Deutsche Bank | New York, NY (10005) | Apply Now!

📍 Location: Deutsche Bank – 60 Wall Street, New York, NY (10005)
💰 Salary Range: $125,000.00 – $203,000.00 Annually + Bonus & Benefits
🏢 Company: Deutsche Bank
📅 Job Type: Full-Time, Permanent

🌟 About Deutsche Bank

Deutsche Bank is a global leader in investment banking and financial services, providing cutting-edge solutions to clients worldwide. Our firm is known for its strong risk management practices, regulatory compliance, and commitment to maintaining a transparent and ethical business environment.

We are seeking a Compliance Officer to join our Investment Bank Compliance – Origination & Advisory team in New York, NY (10005). This role is critical in ensuring adherence to securities regulations, mitigating risks, and providing real-time guidance to the Origination & Advisory business.

If you are a highly skilled compliance professional with a deep understanding of investment banking regulations, securities laws, and financial compliance practices, this is your opportunity to advance your career with a top-tier financial institution.

📌 About the Role

As a Compliance Officer at Deutsche Bank, you will provide real-time advisory services to the Origination & Advisory business, focusing on investment banking advisory engagements, securities offerings, and capital markets activities. You will be responsible for ensuring compliance with regulatory requirements, advising on internal policies, and assisting in risk management and control implementation.

This role requires expertise in financial regulations, compliance monitoring, and risk assessment, along with the ability to collaborate with senior stakeholders, regulators, and internal teams.

✅ Key Responsibilities:

• Regulatory Advisory & Compliance Monitoring: Provide real-time compliance guidance to the Origination & Advisory business, ensuring adherence to U.S. securities laws, FINRA, SEC, and broker-dealer regulations.
• Policy Development & Implementation: Assist in the creation and implementation of policies, procedures, and internal controls to enhance compliance frameworks.
• Supervision & Risk Assessment: Conduct ongoing risk assessments, perform compliance testing and monitoring, and recommend mitigation strategies to strengthen business control mechanisms.
• Regulatory Investigations & Audits: Manage internal investigations, respond to regulatory inquiries, and coordinate external audits and inspections from regulators and internal audit teams.
• Training & Compliance Education: Develop and deliver compliance training programs to business teams on investment banking regulations, risk mitigation strategies, and ethical considerations.
• Confidential Information & Information Barriers Management: Provide guidance on handling confidential information, managing information barriers, and maintaining compliance with communication restrictions.
• Securities Offerings & Syndication Compliance: Advise on compliance considerations related to underwriting, marketing, and selling securities offerings to institutional and public-side investors.
• Stakeholder Collaboration: Work closely with business leaders, legal teams, regulators, and external partners to ensure a seamless compliance integration within the investment banking framework.

🎯 What We’re Looking For:

🔹 Required Qualifications:

✔ Bachelor’s degree required; JD or MBA preferred.
✔ Proven experience in compliance, legal, or regulatory roles within a global investment bank, law firm, or regulatory agency.
✔ Deep knowledge of U.S. securities laws, FINRA, SEC, broker-dealer regulations, and compliance best practices.
✔ Experience advising on investment banking advisory engagements, capital markets transactions, and regulatory compliance frameworks.
✔ Proficiency in Regulation M, SEC 10b-18, 10b5-1, and industry regulations related to securities offerings and advisory services.
✔ Strong analytical, research, and problem-solving skills, with a keen eye for identifying compliance risks and regulatory gaps.
✔ Excellent communication and presentation skills, with the ability to influence senior stakeholders and articulate compliance decisions effectively.
✔ Ability to work independently and collaboratively in a fast-paced, high-pressure environment, ensuring timely and accurate regulatory responses.

🔹 Preferred Qualifications:

✔ Relevant industry certifications (e.g., CAMS, CRCM, or other compliance-related credentials).
✔ Experience working with federal and state regulators on compliance matters.
✔ Prior involvement in regulatory audits, investigations, and compliance risk assessments.
✔ Proficiency in compliance technology solutions and regulatory reporting systems.

🌟 Why Join Deutsche Bank?

💰 Competitive Compensation & Incentives: Base salary $125,000.00 – $203,000.00, plus performance-based incentives.
📈 Career Growth & Development: Deutsche Bank offers advanced training programs, compliance certifications, and professional development opportunities.
🌍 Global Network & Industry Leadership: Work with a world-renowned financial institution with a strong reputation in risk management and compliance excellence.
🏆 Award-Winning Workplace: Deutsche Bank is known for its inclusive culture, diversity initiatives, and commitment to ethical business practices.

💼 Employee Benefits 

✔ Hybrid Work Model: Flexible in-office and remote work arrangements for better work-life balance.
✔ 401(k) Retirement Plan: Employer-matching contributions for long-term financial security.
✔ Comprehensive Health Benefits: Medical, dental, vision, and wellness programs to support overall well-being.
✔ Paid Time Off & Holidays: Generous PTO, personal days, and federal holidays.
✔ Parental Leave & Family Benefits: Support for working parents, including paid leave and childcare assistance.
✔ Tuition Assistance & Learning Programs: Deutsche Bank invests in continuous learning with tuition reimbursement and leadership development programs.
✔ Employee Resource Groups & Inclusion Programs: A diverse and inclusive work culture that promotes equity and belonging.

📅 How to Apply

🔗 Click “Apply Now” to submit your application and become a key compliance leader at Deutsche Bank in New York, NY!

Join a dynamic Investment Bank Compliance team that plays a crucial role in maintaining regulatory integrity and financial security. If you have the expertise in financial regulations, risk management, and compliance strategy, this is your chance to make an impact in one of the world’s leading financial institutions.

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