Compliance SWAP Dealer - Vice President

Deutsche Bank - New York, NY3.9

Full-timeEstimated: $78,000 - $110,000 a year
Job Title: Compliance SWAP Dealer
Corporate Title: Vice President
Location: New York, NY


As a Second Line of Defense function, the Compliance Department seeks to protect the Bank’s licenses to operate by promoting and enforcing adherence with laws, regulations, rules, expectations of regulators, the standards of self-regulatory organizations, and codes of conduct / ethics in connect with the Bank’s regulated activities, and driving a culture of compliance and ethical conduct in the Bank. It seeks to provide an independent and objective assurance to the Management Board of the Bank, on the adequacy of the design and effectiveness of the Compliance Risk control framework for the areas for which it has been allocate responsibility. Compliance also seeks to provide independent, proactive and forward looking challenge and advice to senior managers as well as all employees.

What We Offer You

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
On-site cafeteria, health center, and communal meeting areas
Active engagement with the local community through Deutsche Bank’s specialized employee groups
Hear from our people and look inside our office: DB@The Muse

Your Role

What You’ll Do

You will be responsible for supporting the implementation and management of the overall compliance program for the CFTC-regulated swap and SEC-regulated security-based swap trading activities of Deutsche Bank globally, and for the foreign-regulated swap activities conducted by Deutsche Bank in the US
Assist with the ongoing development and implementation of Deutsche Bank’s Swap Dealer Manual and other Policies and Procedures to ensure that they are reasonably designed to achieve compliance with the requirements of Title VII of the Dodd-Frank Act
Assist with the development and implementation of such Policies and Procedures as necessary to comply with regulations applicable to Deutsche Bank’s swap activities and provide ongoing support to the Head of Swap Dealer Compliance
Recommend and implement changes to the compliance program and the Swap Dealer Manual and related policies/procedures as needed on an ongoing basis as well as draft and coordinate the dissemination of regular Compliance Alerts/Reminders globally to ensure that the front office and infrastructure groups are aware of new rules/regulations and policies/procedures relating to the Swap Dealer
Work with business management and Compliance surveillance staff on the development of first and second-level controls/surveillance needed for the Swap Dealer as well as Compliance Testing teams and/or Audit staff on the development and ongoing testing/monitoring of the effectiveness of the policies and procedures of the Swap Dealer
Prepare the Annual Compliance Report for the Swap Dealer, and any other required periodic reports that the Head of Swap Dealer Compliance will be required to make to the governing body or relevant regulatory authorities
How You’ll Lead (VP and above)

A strong manager and leader in a matrix organization
Focus on engagement and execution to drive results and lead change
Experienced in leading meetings across senior levels of cross-functional representatives
Skills You’ll Need

Understanding of the swap market for one or more product classes as well as an understanding of Title VII of the Dodd-Frank Act as pertains to the obligations of Swap Dealers and Security-based Swap Dealers
Compliance or regulatory experience, preferably with an investment bank, federal regulator or self-regulatory organization, or in a trading environment, risk management function, or law firm
A Bachelor’s degree; JD is a plus. Securities and/or futures licenses, is a plus
Excellent oral and written communication skills. The ability to project confidence and professionalism in dealings with business personnel
The ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast paced trading floor environment. Familiarity with trade entry/capture systems, is a plus
Skills That Will Help You Excel

Able to execute projects against plans with governance and reporting
Able to proactively manage and escalate risks in an appropriate manner
Able to develop relationships at all levels and all functions and build virtual teams across functions and work well within a team
Able to work under pressure and within tight deadlines
Strong analytically with good attention to detail and excellent computer literacy, specifically Microsoft Office
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.

Deutsche Bank is an Equal Opportunity Employer - Veterans/Disabled and other protected categories. Click these links to view the following notices: " EEO is the Law poster " and supplement ; Employee Rights and Responsibilities under the Family and Medical Leave Act ; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision .