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Senior Regulatory Management Job Details

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Employer:  Deutsche Bank
Job Ref No:  52374
Job Title:  Senior Regulatory Management
Sector:  Asset Management
Sub Sector:  Non-Financial Corporate
Risk Type:  Regulatory/Compliance
Expertise:  Regulatory/Compliance
Senior Regulatory Management

Job ID: 3149514 Full/Part-Time: Full-time Regular/Temporary: Regular Listed: 2017-05-16 Location: New York, United States of America

Compliance
At Deutsche Bank, good compliance is everybody's responsibility. The Compliance department's core functions support good compliance practice to prevent and detect violations of all applicable laws, rules and principles that observe high standards of individual behaviour and business conduct.

Working closely with the business, compliance professionals ensure that our risk based programme is both globally effective and locally anchored to our key divisional businesses. As an independent and robust second level control function, the Compliance Department seeks to manage compliance risk and deepen the culture of compliance at Deutsche Bank through the development and management of strategies that are sustainable and increases the trust of our clients.

Position Overview

Job Title: Senior Regulatory Management Associate

Corporate Title: Vice President

Location: New York

Regulatory Management Group - open role for broker/dealer relationship manager

Purpose of the role:
  • Responsible for coordinating, researching, preparing and responding to various inquiries from Regulators, primarily FINRA and SEC
  • Manage ongoing engagement with various broker/dealer examiners for long-term relationship development purposes
  • Gather and analyze data sourced from various internal Compliance, Business, Operational and IT personnel for request submission
  • Validate that proposed submission is fully responsive and sufficient formalized
  • Organize and lead calls internally and externally to resolve or clarify request-related issues
  • Prioritize regulatory requests for Lines of Business and Control Groups
  • Primary point of contact for examining authorities
  • Escalate trends and potential findings to senior management
  • Synthesize and clarify regulatory requests for internal stakeholders
  • Recognize when a matter needs to be referred to Legal

Responsibilities:
  • Updating the RMG inquiries database (REITS)
  • Presenting Regulatory activity to OpCos and SteerCos as needed
  • Managing the workflow tools used by the different agencies and monitoring for in-coming items, e.g. FINRA Gateway
  • Keeping internal parties to deadlines set by regulators
  • Ability to work collaboratively within the RMG team
  • Contribute RMG reporting

Core Competences:
  • Knowledge of various FINRA and SEC rules and regulations pertaining to Trading, Trade Reporting, Securities Offering, Reg SHO, Reg NMS, etc.
  • Background in Equities Operations and Technology for Options is a plus
  • Familiarity with Prime Brokerage business is a plus
  • Ability to interpret Trading and Booking (Blue Sheet) Data
  • Examination management skills
  • Proficiency in the use of Microsoft Excel and Microsoft Word
  • Strong communication and writing skills
  • Attention to detail and excellent organizational skills
  • Comfortable with trading environment


For candidates applying for positions in the US:

Deutsche Bank is an Equal Opportunity Employer - Veterans/Disabled and other protected categories. Click these links to view the " EEO is the Law " poster and pay transparency statement.

Employment Type:  Full Time
Region/Country:  Americas, United States
City:  New York
Address: 
05/28/2017

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