Regulatory Control Advisor - Assistant Vice President
Location: Jacksonville, Florida
Type: Full Time
Internal Number: 20237509
Job Title Regulatory Control Advisor
Corporate Title Assistant Vice President
Location Jacksonville, FL
The Regulatory Control Advisor is a member of the Business Supervisory Office (BSO) and works directly with the Front Office, Senior Leaders, and other BSO Advisors to provide Regulatory Supervision over the International Private Bank's Ultra-High Net Worth Banking and Brokerage client relationships. This role requires a background in Regulatory Supervision or Branch Administrative Manager to understand the current and upcoming regulatory landscape and emerging risks in the global banking industry. Will act as a gatekeeper to provide approvals, exceptions, and a layer of control from inadvertent errors & violations.
What We Offer You
A diverse and inclusive environment that embraces change, innovation, and collaboration
A 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
What You'll Do
Review and approval of client communications, transactions, account openings, non-target customer leads, cross-border travel, and policy exception requests
Review, approval, and maintenance of relevant Policies and Procedures (WSPs, KODs)
Knowledge of financial regulations including SEC, FINRA, and FRB including but not limited to Reg BI, Volcker, GBSA, MIFID II, FATCA, US/European AML mandates and others
Role is both tactical and strategic in nature -you will be responsible for coordination of longer-term initiatives and projects as well as day to day support in these initiatives
Liaise with Legal, Compliance, Divisional Control Office, Audit, and other internal partners to develop and implement solutions/compliance with various regulatory (internal and external) requirements
Project management experience preferred in a large/complex Banking organization with coordination across business lines
Skills You'll Need
Relevant industry experience in Regulatory Supervision of Brokerage and Banking businesses
Series 7, 63, 9/10, and/or 24 required
Must be detail oriented and have an analytical mindset with the ability to deliver key insights/solutions through 'out of the box' thinking
Prior experience working with international clientele/organizations preferred
Skills That Will Help You Excel
Foreign language skills are a plus, preferably Spanish, Portuguese, or German
Motivated and enthusiastic team player, able to work with others in a fast paced, independent, and dynamic financial environment
It is the Bank's expectation that employees hired into this role will work in the Jacksonville office in accordance with the Bank's hybrid working model.
Deutsche Bank provides reasonable accommodations to candidates and employees with a substantiated need based on disability and/or religion.
Deutsche Bank Values & Diversity
We believe talent is found in all cultures, countries, races, ethnicities, genders, sexual orientations, disabilities, beliefs, generations, backgrounds, and experiences. We pursue a working environment where everyone can be authentic and feel a sense of belonging. Click here to find out more about our diversity and inclusion efforts.
We are 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
Learn more about your life at DB through the eyes of our current employees: https://careers.db.com/life
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Deutsche Bank Benefits
At Deutsche Bank, we recognize that our benefit programs have a profound impact on our colleagues. That's why we are focused on providing benefits and perks that enable our colleagues to live authenti-cally and be their whole selves, at every stage of life. We provide access to physical, emotional, and financial wellness benefits that allow our colleagues to stay financially secure and strike balance between work and home. Click here to learn more!
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.
Visit Inside Deutsche Bank to discover more about the culture of Deutsche Bank including Diversity, Equity & Inclusion, Leadership, Learning, Future of Work and more besides.
We are 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 .