Swap Dealer and Security-Based Swap Dealer Compliance - Vice President
Swap Dealer and Security-Based Swap Dealer Compliance - Vice President
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$ 125000 - 203000
1 Vacancy
Job Description
Job Description:
Job Title Swap Dealer and SecurityBased Swap Dealer Compliance
Corporate Title Vice President
Location New York NY
Overview
As a Swap Dealer (SD) and SecurityBased Swap Dealer Compliance (SBDC) Vice President you will have the opportunity to work in a fast paced ruledriven second line of defense function partnering with multiple business and functional stakeholders throughout Deutsche Bank to ensure reasonably designed compliance frameworks for our SD and SBSD rules. There will be an opportunity to learn and grow in the other space that is covered by the team as well. You are a team player who is willing to learn from team members and pitch in to help when needed; You have experience working directly with regulators and senior executives and you appreciate the importance of managing multiple stakeholders interests youve done that before; Your general knowledge of swap dealer and securitybased swap dealer rules will assist in your interactions with other stakeholders to effectively progress efforts. Your selfdiscipline and attention to detail will ensure you are able to build your brand as a trusted partner and offer the ability to work independently on your goals; Your subject matter expertise and your curiosity to learn more will ensure that you will thrive among a team of high achievers. You will be part of a team with members from a wide range of academic and professional backgrounds such as operations law etc. We look for those who possess sounds judgement curiosity and can adapt to a changing regulatory landscape; Join us and youll grow and achieve in a high functioning supportive and highly visible team.
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
Coordinate ongoing improvements of Deutsche Banks Swap Dealer and SecurityBased Swap Dealer Manuals and policies
Work with internal and external stakeholders on the ongoing development of first line of defense controls and surveillance needed for the swap dealer and securitybased swap dealer rules
Partner with the Business Line Compliance Officers Supervision and Control teams Chief Operating Offices and supervisors to support and enhance daytoday regulatory advice to the Business infrastructure and support functions
Prepare adhoc analysis reports memos or other related documentation related to the internal program laws rules regulations guidance or best practices and present to senior executives external stakeholders (including regulators) and large internal audiences
Participate fully in the overall missions of the global Compliance & AntiFinancial Crime division including preparation of relevant rulesbased risk assessments assistance in any relevant regulatory examinations or inquiries internal or external audits compliance testing and surveillance queries as related to the Business areas in scope for these rules
How Youll Lead
You are not a direct manager of people; however you demonstrate leadership by listening to stakeholders asking relevant questions identifying issues and leveraging your credibility and relationships to achieve a collaborative and compliant solution to all issues you encounter.
You will have the opportunity to be a leader to junior members of the team by sharing your expertise developing challenge projects for junior team members and assisting in their development as a mentor or role model
You are prepared to speak with senior management to represent your views in a coherent clear accurate factbased and thorough manner to help drive topdown compliance solutions
Skills Youll Need
Advanced experience in and knowledge of Commodity Futures Trading Commission Securities and Exchange Commission and NFA swap dealer and securitybased swap dealer regulations preferably in a Compliance or Legal Advisory role advising businesses directly
A bachelors degree or equivalent work experience; JD/MBA preferred but not required
Demonstrated understanding of the Business particularly with the focus on Fixed Income and Currencies business
Experience writing and implementing policies and procedures management information and reports to regulators
Product knowledge and regulatory experience within the OvertheCounter derivatives and securitybased swaps businesses is a plus
Skills That Will Help You Excel
Excellent communication skills both written and spoken including the ability to make support and defend difficult and/or complex regulatory/compliance decisions and escalate issues when discovered in a sensitive discreet accurate and professional manner
Experience and an affinity working in a fast paced highly complex environment with tight deadlines while still maintaining perspective thoughtful analysis and reason
Proactive. You observe your environment and volunteer when something needs to be done you want to be accountable and recognized as accountable you are not waiting for assignments to find you
Ability to project confidence thoughtfulness ethical consideration and professionalism in all dealings
Strong interpersonal skills and the ability to manage processes and drive change and accountability with key internal stakeholders
Expectations
It is the Banks expectation that employees hired into this role will work in the New York NY 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 New York is $125000 to $203000. Actual 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!
Learn more about your life at Deutsche Bank through the eyes of our current employees: California Consumer Privacy Act outlines how companies can use personal information. If you are interested in receiving a copy of Deutsche Banks California Privacy Notice please email.
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Together we share and celebrate the successes of our people. Together we are Deutsche Bank Group.
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
