Deutsche Bank Openings – Swap Dealer Compliance

Job Description:

You will be responsible for supporting both the Firm’s existing swap dealer (SD) compliance program (Commodity Futures Trading Commission (CFTC)-regulated swaps), as well as the Firm’s ongoing implementation of a new security-based SD compliance program (Securities and Exchange Commission (SEC)-regulated security-based swaps).

Job Responsibilities:

• Draft and distribute formal compliance alerts or informal notes with respect to the SD and security-based SD, as well as work with internal and external stakeholders on the ongoing development of first- and second line of defense [1st Line of
• Defense (1LOD) and 2nd Line of Defense (2LOD)] controls and surveillance needed for the SD and security-based SD
  Work with internal and external stakeholders on the development and ongoing testing/monitoring of the SD and security-based SD compliance programs in addition to developing and conducting training related to the SD and security-based SD compliance programs
• Lead and support ongoing security-based SD compliance program implementation efforts as well as assist with the ongoing development and implementation of Deutsche Bank’s global SD and security-based SD manuals and other policies and procedures
• Provide continuous monitoring of the Firm’s SD and security-based SD compliance programs to identify program gaps and/or enhancement opportunities; work with internal and external stakeholders to identify and implement action plans in response to the same

Job Requirements:

• Ability to project confidence, thoughtfulness, and professionalism in all dealings
• Working understanding or demonstrated capacity to obtain a working understanding of the Dodd-Frank Act Title VII as it pertains to the obligations of SDs and security-based SDs
• Working understanding or demonstrated capacity to obtain a working understanding of OTC derivatives

Qualification & Experience:

• Experience in a financial services or equivalent role, preferably in a non-financial risk capacity (e.g., compliance, legal, or other risk management function) or within a trading environment
• Bachelor’s Degree or equivalent work experience; Juris Doctor (JD) is a plus but not required

Job Details:

Company:  Deutsche Bank

Vacancy Type:  Full Time

Job Location: New York, NY, US

Application Deadline: N/A

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