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.   As you’ll discover, our culture supports this. 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.

About Legal, Risk and Capital

Deutsche Bank is exposed to a wide range of risks every day which can impact its reputation and capital.  Legal Risk & Capital (LRC) is recognized as a market leader in the risk management industry to guard against such exposures.  LRC manages all aspects of risks such as credit loss, volatility of market prices, operational failures, liquidity shortages, regulatory and legal matters.  All risks are managed from the analysis of counterparty credit risk and the stress-testing of market movements, to the protection of the Bank’s infrastructure and information.  The major risks that Deutsche Bank faces are managed by different areas within LRC.  These include the Chief Operating Office, Compliance, Corporate Security & Business Continuity, Credit Risk Management, Investment Risk Management, Legal, Operational Risk Management, Market Risk Management, and Treasury & Capital Management.

The Legal division manages legal risk in order to make transactions viable and safe, to protect Deutsche Bank’s integrity and reputation. Legal’s main tasks include drafting agreements and other deal documentation, negotiating contract terms, advising on business transactions and strategy, and handling litigation and regulatory investigations.

Compliance Officer – Position Reporting AVP

Responsibilities Include:

• Collection and review of US equity holdings at a global level

• Monitoring of position levels and granting trade approvals for front office traders

• Filing insider and beneficial ownership reports to the SEC (13 d, g, f, and section 16).

• Candidate will also support surveillance and reporting of US holdings in Asset Management and reporting on Latin America/Canadian equities.  

Skills Required:

• Bachelor’s Degree

• Minimum of 3 years of related experience

• Strong knowledge of equity securities, trading and products, and surveillance.

• Strong regulatory background, including knowledge of Securities Exchange Act of 1934 and Investment Company/Advisors Act of 1940.  Regulatory licenses preferred.

• Technical knowledge of EDGAR (SEC's regulatory filing application).

• Strong communication skills (both verbal and written), as job requires interaction with front office and Legal.

• Powerpoint and project management skills desired.

Deutsche Bank is an Equal Opportunity/Affirmative Action (M/F/D/V) employer.