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About the Role
Provide real-time support and challenge to the Fixed Income & Currencies (FIC) Energy businesses within the Investment Bank (IB). Implement Compliance frameworks for the Energy business, including check and challenge to new business initiatives. Offer guidance on structuring, sales and trading activities, surveillance, supervision, and other typical investment banking matters. Integral to establishing the expanding Energy business in new products and markets in a controlled manner. Advise on regulatory trends and developments impacting business areas.
Responsibilities
- Communicate Firm policies, procedures, and securities laws/regulations to business areas.
- Draft, update, and implement relevant policies and procedures.
- Provide regulatory/compliance training.
- Assist the Business in implementing and documenting supervisory/control mechanisms.
- Participate in internal investigations.
- Respond to regulatory inquiries.
- Coordinate internal and external audits and inspections.
- Interact with federal and state regulators, Regional Transmission Organization/Independent System Operator representatives, and self-regulatory arms of exchanges/venues.
- Coordinate with Compliance colleagues in Testing and Surveillance on oversight activities.
- Conduct risk assessments of the Business to ensure an effective business control framework.
Requirements
- Strong energy and derivatives regulatory experience, preferably in a global investment bank or energy firm.
- Significant experience with energy products (power, natural gas, emissions, oil, and oil products).
- Functional knowledge of the US fixed income and derivative trading regulatory framework.
- Functional knowledge of FERC regulations and industry best practices.
- Familiarity with securities regulation, aspects of prudential regulation applicable to sales and trading businesses, and Financial Industry Regulatory Authority expectations is a plus.
- Relevant experience providing compliance or legal coverage to a sales or trading desk at an investment bank or energy company.
- Proven ability to leverage AI tools to enhance productivity, optimize workflows, and solve business problems, while applying critical judgment for responsible and ethical use of data and AI outputs.
Skills
- Energy and derivatives regulatory experience
- Energy products knowledge
- US fixed income and derivative trading regulatory framework knowledge
- FERC regulations knowledge
- Securities regulation familiarity
- Prudential regulation familiarity
- Financial Industry Regulatory Authority expectations familiarity
- AI tools utilization
- Excellent communication skills (written and spoken)
- Ability to make, support, and defend complex regulatory/compliance decisions
- Ability to project confidence and professionalism
- Desire to lead and develop junior staff
Location
- New York, NY
Work Type
- Hybrid
- Onsite
Experience Level
- Director
Education Level
- Bachelor's degree or equivalent
- JD or MBA a plus
Salary/Compensations
- $170,000 to $340,000
Benefits
- Hybrid working model
- Generous vacation, personal and volunteer days
- Employee Resource Groups support
- Competitive compensation packages
- Health and wellbeing benefits
- Retirement savings plans
- Parental leave
- Family building benefits
- Educational resources
- Matching gift programs
- Volunteer programs
About the Company
- A diverse and inclusive environment that embraces change, innovation, and collaboration.
- 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
- Deutsche Bank provides reasonable accommodations to candidates and employees with a substantiated need based on disability and/or religion.
- 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.