Business Supervisory Regulatory Analyst AVP Business Supervisory Regulatory Analyst AVP …

Deutsche Bank
in Jacksonville, FL, United States
Permanent, Full time
Be the first to apply
Negotiable
Deutsche Bank
in Jacksonville, FL, United States
Permanent, Full time
Be the first to apply
Negotiable
Provide review and oversight of Private Bank business including paper communication surveillance, inappropriate statements, improper representation, misuse of client data, client complaints and other potential issues

Job Description

Job Title: Business Supervisory Regulatory Analyst

Corporate Title: Assistant Vice President

Location: Jacksonville, FL

Overview

Wealth Management helps professionals and certain institutions worldwide to protect and grow their wealth, offering traditional and alternative investments across all major asset classes. WM also provides customized wealth management solutions and private banking services to high-net-worth stakeholders and families. Deutsche Bank is investing heavily in technology, which means we are investing in you. Join us here, and you'll constantly be looking ahead.

What We Offer You:

  • We offer competitive health and wellness benefits, empowering you to value life in and out of the office
  • On-site gym, cafeteria, health center, and communal meeting areas
  • Active engagement with the local community through Deutsche Bank's specialized employee groups
  • An open seating environment that encourages networking and collaboration across functions and businesses

OTHER US LOCATIONS

  • We offer competitive health and wellness benefits, empowering you to value life in and out of the office
  • Retirement Savings Plans, Parental Leave, and other family-friendly programs
  • Educational resources available and talent development opportunities made available within Education Policy

Your Role

What You'll Do:

  • Provide review and oversight of Private Bank business including paper communication surveillance, inappropriate statements, improper representation, misuse of client data, client complaints and other potential issues
  • Ensure compliance with all Bank and B/D policies and procedures
  • Regulatory projects as required
  • Review/Approval of Marketing Materials in keeping with FINRA 2210
  • Registration, Legal Entity & Dual Hatting conduit; High Risk Media Policy Exceptions or Reviews, Quality Assurance of various regulatory tasks incl. Audits

Skills You'll Need:

  • FINRA licenses: Series 7, 63/66, 24 (9/10), or ability to pass 9, 10 exams in quick succession
  • Experience in Financial services, Compliance and Regulatory/Supervisory experience including leadership, business management experience and dealing with diverse teams
  • Bachelor's Degree

Skills That Will Help You Excel:

  • Language skills- Spanish skills will be a big plus but not mandatory
  • Excellent communication skills, both written and spoken
  • Self-Motivated
  • Detailed Oriented
  • Independent decision making skills but escalate, when necessary

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.

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