Employee Compliance - Licensing and Registration - Assistant Vice President

Job Title Employee Compliance - Licensing and Registration

Corporate Title Assistant Vice President

Location Jacksonville

Overview

Compliance is seeking an Assistant Vice President to work on our US Licensing and Registration team. You will be expected co-manage the daily operations of registering internal employees/legal entities with Financial Industry Regulatory Authority (FINRA), NFA, Federal Reserve Bank (FRB) and state insurance regulators along with other projects as require for the US Region. The team is also responsible to perform an independent 2nd level control function and provide effective advice and tools as it pertains to registration related issues.

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

• Managing the run-the-bank processes and teams relating to the US Licensing and Registration region

• Manage all aspects of registrations and ensure timely filings of the appropriate documentation with regulators

• Prepare weekly, monthly and quarterly key metrics pertaining to US Licensing and Registration region activities

• Provide advice and counsel to business partners and ensure compliance on matters pertaining to licensing and registration related matters

• Ability to develop criteria for gathering of business requirements for related projects ( to include technology initiatives), review functional requirements, participate in project meetings, perform user acceptance testing, manage post implementation issues and system enhancements

• Escalate and communicate clearly, both in writing and orally, with peers and Manager regarding issues encountered, questions and any data irregularities

Skills You'll Need

• Minimum of a Bachelor's degree or equivalent work experience

• The successful candidate will have Moderate experience in a compliance/broker-dealer Support models

• Strong interpersonal and communication skills including ability to communicate professionally and effectively, while using discretion with sensitive and confidential data, across all mediums with staff at all levels

• Experience of process management and design

• Prior experience in FINRA registration or related industry experience a plus

Skills That Will Help You Excel

• Proven ability to multi task as well as assess and change priorities in a fast paced environment

• Exceptional organizational, writing and communication skills

• Detail-oriented with excellent organizational skills

• Forward thinking and self-driven with the ability to see opportunities in challenges

• Capable of exercising sound judgement and good decision-making in managing risk

Expectations

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.

The salary range for this position in Jacksonville, FL is $75,000.00 to $110,750.00. Actual salaries may be based on a number of factors including, but not limited to, a candidate's skill set, experience, education, work location and other qualifications. Posted salary ranges do not include incentive compensation or any other type of renumeration.

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.

Learn more about your life at Deutsche Bank through the eyes of our current employees https://careers.db.com/life

The California Consumer Privacy Act outlines how companies can use personal information. If you are interested in receiving a copy of Deutsche Bank's California Privacy Notice please email HR.Direct@DB.com.

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 authentically 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 hereto learn more!

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

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Together we share and celebrate the successes of our people. Together we are Deutsche Bank Group.

We welcome applications from all people and promote a positive, fair and inclusive work environment.

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.