Job Description:
Job Title: Regulatory Control Advisor/BAM
Corporate Title: Associate
Location: New York, NY
Overview
Wealth Management helps individuals and certain institutions worldwide to protect and grow their wealth, offering traditional and alternative investments across all major asset classes. We provide customized wealth management solutions and private banking services to high-net-worth individuals and families. Deutsche Bank is investing heavily in technology, which means we are investing in you. As the Regulatory Control Advisor/ BAM you will provide regulatory oversight over front office activities.
What We Offer You
• 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 gift, and volunteer programs What You'll Do
• Responsible for providing oversight of front office activities
• Research, draft, and coordinating responses for regional projects, regulatory exams, Compliance testing exams, internal audits, business risk assessments, and system process enhancements
• Work with stakeholders to drive change and/or scalability to current control processes Skills You'll Need
• Bachelor's degree and relevant Regulatory and Brokerage experience within a larger/complex banking organization preferably in a supervisory and/or compliance function. Will consider experience in lieu of a degree.
• FINRA Series 7, 63, 24 or 9 & 10 licenses
• Prior experience with regulatory, audit, and compliance exams or project management background is preferred
• Experience in working with senior level management Skills That Will Help You Excel
• High proficiency in written and oral communication skills
• Strong background with complex investments and banking products and services Expectations
It is the Bank's expectation that employees hired into this role will work in the Jacksonville office in accordance with the Bank's hybrid working model.
Deutsche Bank provides reasonable accommodations to candidates and employees with a substantiated need based on disability and/or religion.
The salary range for this position in Jacksonville is $65,000 to $97,500. Actual salaries may be based on a number of 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 renumeration.
Deutsche Bank Values & Diversity
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. Click here to find out more about our diversity and inclusion efforts.
We are an Equal Opportunity Employer - Veterans/Disabled and other protected categories.
Learn more about your life at DB through the eyes of our current employees: https://careers.db.com/life
The California Consumer Privacy Act outlines how companies can use personal information. If you are interested in receiving a copy of Deutsche Bank's California Privacy Notice please email HR.Direct@DB.com .
Deutsche Bank Benefits
At Deutsche Bank, we recognize that our benefit programs have a profound impact on our colleagues. That's why we are focused on providing benefits and perks that enable our colleagues to live authenti-cally and be their whole selves, at every stage of life. We provide access to physical, emotional, and financial wellness benefits that allow our colleagues to stay financially secure and strike balance between work and home. Click here to learn more!
Click these links to view the following notices: EEO is the Law poster and supplement ; Employee Rights and Responsibilities under the Family and Medical Leave Act ; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision
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Our values define the working environment we strive to create - diverse, supportive and welcoming of different views. We embrace a culture reflecting a variety of perspectives, insights and backgrounds to drive innovation. We build talented and diverse teams to drive business results and encourage our people to develop to their full potential. Talk to us about flexible work arrangements and other initiatives we offer.
We promote good working relationships and encourage high standards of conduct and work performance. We welcome applications from talented people from all cultures, countries, races, genders, sexual orientations, disabilities, beliefs and generations and are committed to providing a working environment free from harassment, discrimination and retaliation.
Visit Inside Deutsche Bank to discover more about the culture of Deutsche Bank including Diversity, Equity & Inclusion, Leadership, Learning, Future of Work and more besides.
We are an Equal Opportunity Employer - Veterans/Disabled and other protected categories. Click these links to view the following notices: EEO is the Law poster and supplement ; Employee Rights and Responsibilities under the Family and Medical Leave Act ; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision .
