Regulatory Client Classifications US Lead - Vice President
Regulatory Client Classifications US Lead - Vice President
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$ 93000 - 133300
1 Vacancy
Job Description
Job Description:
Job Title Regulatory Client Classifications US Lead
Corporate Title Vice President
Location Jacksonville FL
Overview
As the lead for US Regulatory Client Classification you will be responsible for 13 key regulations including for Dodd Frank Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission (SEC) rules. This includes managing process and controls to detect and remediate incorrect client documentation and leading transformation initiatives to enhance control and efficiency. You will coach and develop staff (including remote team in India) embed a strong supervisory culture and create a collaborative and supportive environment to foster performance. You will be responsible for understanding and implementing changes and new US Regulations. Your duties and tasks involve regular engagement and stakeholder management across front office second line functions technology and operations to represent the team positively and adhere to governance standards.
What We Offer You
A diverse and inclusive environment that embraces change innovation and collaboration
A hybrid working model allowing for inoffice / 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 Youll Do
The core focus of the role is to ensure that Deutsche Bank fulfils its regulatory client classification obligations highlighting any gaps and issues with timely analysis and appropriate remediation. Act as a final escalation point for escalations controls key processes and risk indicators; and will lead by example in supporting the Bank wide Risk Control and Regulatory agenda
Managing relationships for the function they lead direct and influence Regulators the Industry Vendors and Internal Stakeholders globally in order to contribute to Remediation Market standardization classification Infrastructure and Processing Strategy whilst meeting targets and obligations
Empower and develop staff identifying training and development needs to ensure effective succession planning and development of capability and development of strong supervision. Promotes an inclusive environment and are the voice for diversity at all levels. Drive and lead a team culture of high performance ownership integrity and passion to deliver against the Banks strategic targets
Additional to the leadership of the US RCC this role will also have responsibility for transformation (process optimization and regulatory change enablement) initiatives and will lead one or more projects for global crossjurisdictional improvement
Sets and monitors US RCC business deliverables and performance targets. Accountable for effective and adequate control framework and accountable for all risks in US RCC and timely mitigation taking an endtoend process view including audit matters and attestations. Provide strong governance around monthly processes including preparation of governance fora scorecards MIS and Management Reporting to senior stakeholder
Understand and be able to provide guidance across US regulations Commodity Futures Trading Commission (CFTC) Dodd Frank Securities and Exchange Commission (SEC) Swap Based Securities Dodd Frank Volcker Reg W Financial Industry Regulatory Authority (FINRA) 2111 FINRA 4210 Reg D/QIBs Foreign Bank Certificates 15a6 and Reg O Business Management etc
How Youll Lead
Accountable for the teams performance and development you will embed supervisory standards and act as role model leading with authenticity and a focus on people and partnership
You will be a hands on manager who is familiar with the regulations processes and controls and will both escalate effectively and seek efficiency and improvement in the environment
Manage stakeholder engagement and provide regular communication updates on risks progress deliveries dependencies and challenges
Skills Youll Need
Candidate is expected to have Vice President level experience in Investment Banking (Operations) or similar industry
Ability to lead in virtual teams and matrixed organizations often across multiple business cultures and organizational disciplines creating cultures and maximizing staff potential
Liaising with internal and external teams to deliver collaborative solutions and communicate effectively to both create positive outcomes and escalate effectively and to share information transfer knowledge and expertise to wider team members and management
Strong leadership skills with the ability to motivate develop and lead by example to drive optimum performance including ability to share information transfer knowledge and expertise to wider team members and management
Strong analytical problem solving and strategic planning with a continuous process improvement mindset; ability derive and make sound and balance decisions through data gathering and impact analysis
Skills That Will Help You Excel
Background in operations and/or knowyourcustomer functions with exposure to regulations preferred
Excellent verbal and written communication skills with proven experience of reporting complex concepts to senior management includes experience running stakeholder meetings and management of critical issues and ability to influence and manage a senior stakeholder audience
Ability to influence and provide balanced view to key stakeholders business & compliance counterparts on programs initiatives and decisions
Intellectual curiosity and selfstart mentality willing to work through problems without close guidance
Strong understanding of risk & control and regulatory reporting landscape across US with global exposure preferred
Expectations
It is the Banks expectation that employees hired into this role will work in the Jacksonville FL office in accordance with the Banks 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 FL is $93000 to $ salaries may be based on a number of factors including but not limited to a candidates skill set experience education work location and other qualifications. Posted salary ranges do not include incentive compensation or any other type of remuneration.
Deutsche Bank Benefits
At Deutsche Bank we recognize that our benefit programs have a profound impact on our colleagues. Thats why we are focused on providing benefits and perks that enable our colleagues to live authentically 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!
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We welcome applications from all people and promote a positive fair and inclusive work environment.
We are an Equal Opportunity Employer Veterans/Disabled and other protected categories. Click these links to view the following notices:EEOC Know Your Rights;Employee Rights and Responsibilities under the Family and Medical Leave Act;Employee Polygraph Protection ActandPay Transparency Nondiscrimination Provision.
Required Experience:
Chief
Employment Type
Full-Time
