Candidate registration
Employer registration
Forgot password
Sign in
Candidate registration
Sign in
Candidate registration
Sign in
Employer registration

ERISA Compliance Officer - Director Job Details

Show me jobs like this one

Employer:  Deutsche Bank
Job Ref No:  3153638
Job Title:  ERISA Compliance Officer - Director
Sector:  Asset Management
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: ERISA Compliance Officer
Corporate Title: Director
Location: New York
About Deutsche Bank
A Passion to Perform is what drives us. More than a claim, this describes the way we do business. We're committed to being the best financial services provider in the world, balancing passion with precision to deliver superior solutions for our clients. This is made possible by our people: agile minds, able to see beyond the obvious and act effectively in an ever-changing global business landscape. Diverse, international and shaped by a variety of different perspectives, we're driven by a shared sense of purpose. At every level agile thinking is nurtured. And at every level, agile minds are rewarded with competitive pay, support and opportunities to excel.
Job Overview
Deutsche Asset Management is seeking a compliance professional to be responsible for leading the ERISA Compliance program for its global asset management business. This individual will be responsible for overseeing and implementing appropriate controls relating to the activities conducted by various Investment Advisory entities within the global Asset Management division. The candidate must be a legal professional with extensive experience with, and knowledge of, the regulation of financial services and products, including under ERISA and the Code.
Reporting Lines
The role of the ERISA Compliance Director will report to the Global Head of Asset Management Compliance and to the Regional Heads of Asset Management Compliance & Legal in the Americas.
Role and Responsibilities
The ERISA Compliance Director is a business line advisory compliance role, supporting the global Asset Management business activities to comply with all relevant fiduciary provisions under Part 4 of Title I of ERISA and the regulations thereunder, including prohibited transaction rules, exemptions and related firm policies and procedures.
  • Provide advice and guidance to the senior management of Deutsche Bank Americas Asset Management Division relating to ERISA Compliance matters and provide training on ERISA matters to relevant Asset Management staff;
  • Develop and maintain a robust compliance framework in conjunction with the Compliance Management team regionally in the US and globally across the organization as it relates to ERISA and other retirement plan activity;
  • Review and analyze relevant regulatory notices; liaise and advise front line businesses to ensure compliance with regulatory developments; review and update relevant policies and procedures, where required;
  • Oversee and participate in the annual Compliance Risk Assessment process, providing quality assurance sign off for ERISA and other retirement plan related activities;
  • Coordinate with regulators and internal and external auditors as it relates to ERISA Compliance matters and prepare necessary reports and presentations in connection therewith

    • Must have an undergraduate and J.D degrees, plus a minimum of 10 years of relevant ERISA plan investment management related legal experience (compliance experience is a plus);
    • Ability to work effectively with senior business management and staff within a matrixes organization and engage and provide pro-active advice;
    • Comprehensive knowledge of Part 4 of Title I of ERISA and. the Investment Advisers Act and the relevant rules and regulations under these Acts..
    • Must be highly organized and detailed oriented and possess excellent written and oral communication skills
      Interpersonal Skills
      You will possess the following attributes:
      • self-motivation and initiative taking
      • ability to build understanding and trust
      • strong teamwork, communication (both written & oral), presentation and influencing skills
      • analytical skills
      • negotiation skills
      • leadership skills

        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

Popular Countries: United States | Canada | England | Switzerland | Ukraine | Asia / Pacific | India | Malaysia | Australia | New Zealand
Popular States: Connecticut | District Of Columbia | Florida | Illinois | Minnesota | New Jersey | New York | View Other Popular States
Popular Risk Types: Risk Jobs | Risk Management Jobs | Market Jobs | Credit Jobs | Enterprise Jobs | Energy Jobs | Regulatory/Compliance Jobs

Resumes by Job Titles: Compliance Analyst | Risk Analyst | Quantitative Analyst | Risk Manager | Risk Management Consultant | Risk Officer | View Other Resumes


Home    About us    Job search    Employer area    Contact us    Terms & conditions    Privacy policy    Risk Recruiter   
Copyright © 2017 Global Risk Jobs | Powered by JobMount Job Board Software |  Job Wrapping