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Job Title: Business Supervisory Advisory 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.
Deutsche Bank's Wealth Management Division has more than EUR 300+bn of assets under management and is one of the world's leading investment organizations. WM helps individuals and certain institutions worldwide to protect and grow their wealth, offering traditional and alternative investments across all major asset classes. WM also provides customized wealth management solutions and private banking services to high-net-worth individuals and families.
Key responsibilities include:
The Business Supervisory Analyst will assist Wealth Management to ensure Compliance with all policies and procedures
Key responsibilities will include:
Primary responsibility will be to provide review and oversight of Private Bank business including electronic and paper communication surveillance, inappropriate statements, improper representation, misuse of client data, client complaints and other potential issues
Ensure compliance with all Bank and B/D policies and procedures
Proper escalation to Business Supervisory Office (BSO), Senior Management and Compliance of all serious matters
Maintain and enforce the Firm's policies and procedures per current Regulatory standards
Assist with audits, regulatory and risk assessment projects for Business Supervisory Office (BSO) group as required
Coordinate various departmental MI and Dashboard, tracking exceptions, reminders such as Mandatory Time Away or Amex Delinquencies, reconciliations; owner of various WM policies and procedures
Regulation E, Reg O; Cross Border Reviews with BSO Management
Registration, Legal Entity & Dual Hatting conduit; High Risk Media Policy Exceptions or Reviews, Quality Assurance of various regulatory tasks including audits
FINRA licenses: Series 7, 63/66 (9/10 or S24) required, or ability to pass 9, 10, 24 exams in quick succession
Language skills- Spanish skills will be a big plus but not mandatory
Experience in Financial services, Compliance and Regulatory/Supervisory experience including leadership, business management experience and dealing with diverse teams
Strong verbal, interpersonal/motivation/team and communication skills as work involves dealing with remote senior managers, regional and global teams
Must be detail oriented and have an analytical mindset with the ability to deliver key insights/solutions through 'out of the box' thinking
Flexible, well-motivated and enthusiastic team player, able to work with others in a fast paced, dynamic financial services environment
Escalate and highlight issues with excellent decision making skills
Internal Number: 5931767
About Deutsche Bank - US
eFinancialCareers is a career site specializing in financial services.
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