Compliance Control Room - Assistant Vice President  …

Deutsche Bank - US
in Jacksonville, FL, United States
Permanent, Full time
Last application, 03 Jul 19
Negotiable
Deutsche Bank - US
in Jacksonville, FL, United States
Permanent, Full time
Last application, 03 Jul 19
Negotiable
Compliance is now seeking an AVP/Associate within the Control Room / Chaperone function, depending on level of experience. The primary function of the role is to maintain the integrity of the firm's information barriers. The Control Room is a fast-paced role with exposure to many different businesses and transaction types while requiring a high level of responsibility and attention to detail. Successful professional will need to be accomplished at multi-tasking, with ability to think through problems, interact appropriately with business colleagues at all levels, and take ownership of day-today tasks and projects on behalf of a team.

Job Title: Compliance Control Room
Corporate Title: Assistant Vice President
Location: Jacksonville, FL

About Deutsche Bank

We are Germany's leading bank with strong positions in Europe and significant presence in the Americas and Asia Pacific. We're driving growth through our strong client franchise, investing heavily in digital technologies, prioritizing long-term success over short-term gains, and serving society with ambition and integrity. We serve our clients' real economic needs in commercial and investment banking, retail banking and transaction banking, and provide ground-breaking products and services in asset and wealth management. That means a career packed with opportunities to grow and the chance to shape the future of our clients.

Department

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 professional behavior and business conduct.

Working closely with the business, compliance professionals ensure that our risk based programs 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.

Overview

Compliance is now seeking an AVP/Associate within the Control Room / Chaperone function, depending on level of experience. The primary function of the role is to maintain the integrity of the firm's information barriers. The Control Room is a fast-paced role with exposure to many different businesses and transaction types while requiring a high level of responsibility and attention to detail. Successful professional will need to be accomplished at multi-tasking, with ability to think through problems, interact appropriately with business colleagues at all levels, and take ownership of day-today tasks and projects on behalf of a team.

The role may also require understanding rules and regulations pertaining to business communications between research analysts and investment bankers, and conducting further monitoring of those interactions to ensure compliance.

Key Responsibilities

Provide Compliance support for the Control Room in the following areas:

  • Maintenance of the firm's Watch and Restricted List
  • Review and clearance of Research for publication
  • Perform cross-divisional conflict checks and identify potential issues
  • Provide advice and guidance on legal, regulatory and compliance requirements as they relate to information barriers, conflicts of interest, offering rules, trade restrictions, and research
  • Assist in the development, review and testing of Control Room systems
  • Conduct ad-hoc projects and look for opportunities to improve team processes (and liaise with technology team to improve systems)
  • Monitor changes in securities regulations and implement or update applicable policies and procedures
  • Facilitate telephone calls between research analysts and investment bankers in order to prevent communications that could lead to violations of applicable rules and regulations (the function is referred to as "Chaperoning")
  • Review email correspondence between research analysts and investment bankers and act as Gatekeeper
  • Give advice and explanations regarding the above topics

Will need to be flexible on work day including maintain access to work email and regular weekend coverage

You will have:

  • Analytical, process-oriented mindset
  • Strong attention to detail, coupled with strong problem solving skills
  • A pro-active, results-oriented approach with strong drive and initiative
  • Well-developed relationship-building skills, networking skills and communication/influencing skills
  • Communication skills including confidence in expressing business views tactfully
  • Ability to manage multiple, deadline-oriented tasks in a fast paced environment while at same time being able to contribute to team day-to-day responsibilities
  • Leadership in a team working environment

You will be:

  • Bachelor's degree required; JD also considered
  • The successful professional will have relevant industry exposure or professional experience
  • Knowledge/background in investment banking products and application to the core Control Room functions, including confidential information, information barrier procedures and controls and insider trading rules
  • Knowledge/experience with financial markets and an array of financial products (including stocks, bonds, equity/credit derivatives)
  • Understanding of basic securities laws relating to research and insider trading rules
Close
Loading...