Deutsche bank
Head Of Fixed Income & Currencies (Fic) Compliance, Americas
Overview
As the Head of Fixed Income & Currencies (FIC) Compliance, Americas, you will lead a team of business line Compliance officers providing real-time support and challenge to the FIC businesses within the Investment Bank (IB).
About Deutsche bank
For over 150 years, our dedication to being the Global Hausbank for our clients has been driven by our people – in around 60 countries and across more than 150 nationalities. Their deep understanding, insights, expertise, and passion help our clients navigate an increasingly complex world – be it in our Corporate Bank, our Private Bank, our Investm
Requirements & Eligibility
- Strong securities, derivatives and lending experience, preferably in a global investment bank or law firm
- Significant experience with fixed income (including structured credit/finance) products, but at a minimum experience in advising for multiple FIC business activity with prior management experience
- Bachelor’s degree or equivalent; JD or MBA a plus
- Functional knowledge of the US fixed income and derivative trading regulatory framework, the ’33 Act and the ’34 Act, Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), broker dealer regulations, general knowle
- Relevant experience providing compliance or legal coverage to sales or trading, lending and/or structuring business at a broker/dealer, swap dealer, or security based swap dealer
Key Responsibilities
- Advise business areas on Firm policies and 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
- Conduct risk assessments of the Business to ensure effective business control framework, challenge business Risk and Control Self Assessments and work collaboratively with Compliance colleagues who perform testing and monitoring of compliance with Fi
- Support the global compliance monitoring program by providing input on the framework documents and completing verification checks as outlined the annual monitoring plan
- Lead and develop a team of business line Compliance officers
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