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About the Role

As the Head of Fixed Income & Currencies (FIC) Compliance, Americas, you will lead a team of business line Compliance officers providing real-time support and challenge to the FIC businesses within the Investment Bank (IB). The role involves advising on issues related to structuring, lending, sales and trading activities, surveillance and monitoring of controls, and supervision, while challenging the Business on their controls and processes.

Responsibilities

Advise business areas on Firm policies and procedures and applicable securities laws and regulations; draft, update, and implement relevant policies and procedures
Provide regulatory/compliance training; assist the Business in implementing and documenting various supervisory/control mechanisms
Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections; interact with federal and state regulators
Conduct risk assessments of the Business to ensure effective business control framework, challenge business Risk and Control Self Assessments and work collaboratively with Compliance colleagues who perform testing and monitoring of compliance with Firm policies
Support the global compliance monitoring program by providing input on the framework documents and completing verification checks as outlined the annual monitoring plan
Lead and develop a team of business line Compliance officers
Member of the Investment Bank Compliance, Americas, management team and compliance representative to controls governance forums
Manage relationships with senior leadership within the FIC businesses, Control functions in the first line of defense, infrastructure partners and with control partners in the second line of defense

Requirements

Strong securities, derivatives and lending experience, preferably in a global investment bank or law firm
Significant experience with fixed income (including structured credit/finance) products, but at a minimum experience in advising for multiple FIC business activity with prior management experience
Bachelor’s degree or equivalent; JD or MBA a plus
Functional knowledge of the US fixed income and derivative trading regulatory framework, the ’33 Act and the ’34 Act, Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), broker dealer regulations, general knowledge of swap dealer and security-based swap dealer rules and other relevant bank regulations; knowledge of SEC, CFTC and FINRA laws, rules, and regulations as well as industry best practice
Relevant experience providing compliance or legal coverage to sales or trading, lending and/or structuring business at a broker/dealer, swap dealer, or security based swap dealer
Proven ability to leverage AI tools to enhance productivity, optimize workflows to solve business problems, while applying critical judgment to ensure responsible and ethical use of data and AI outputs
Excellent communication skills, both written and spoken
Ability to make, support, and defend difficult and complex regulatory/compliance decisions in a fast-paced and high-pressured environment
Ability to project confidence and professionalism in dealings with senior business personnel
Ability to lead teams, work collaboratively, and develop junior staff

Skills

Fixed Income
Currencies
Compliance
Investment Banking
Securities
Derivatives
Lending
Structured Credit
Structured Finance
Regulatory Advisory
Risk Assessment
Control Frameworks
Policy Drafting
Training
Investigations
Regulatory Inquiries
Audits
Inspections
Monitoring Programs
Team Leadership
Relationship Management
AI Tools
Communication Skills
Decision Making
Professionalism
Collaboration

Location

New York, NY

Work Type

Hybrid
Onsite

Experience Level

Director
Management Experience

Education Level

Bachelor's degree or equivalent
JD or MBA a plus

Salary/Compensations

$170,000 to $308,000

Benefits

A diverse and inclusive environment that embraces change, innovation, and collaboration
Hybrid working model, allowing for in-office / 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
Access to physical, emotional, and financial wellness benefits
Reasonable accommodations for disability and/or religion

About the Company

Deutsche Bank provides reasonable accommodations to candidates and employees with a substantiated need based on disability and/or religion.
We strive for a culture in which we are empowered to excel together every day. This includes acting responsibly, thinking commercially, taking initiative and working collaboratively.
Together we share and celebrate the successes of our people. Together we are Deutsche Bank Group.

Equal Opportunity

Qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, protected veteran status or other characteristics protected by law.
Click these links to view Deutsche Bank’s Equal Opportunity Policy Statement and the following notices: EEOC Know Your Rights; Employee Rights and Responsibilities under the Family and Medical Leave Act; and Employee Polygraph Protection Act.