Job Title Regulatory & Exam Management Analyst
Corporate Title Associate
Location New York, NY
Overview
We are seeking an Entry Level Regulatory & Exam Management Analyst to support the coordination and management of regulatory examinations, inquiries, and governance activities across Equities, Fixed Income, Treasury, and Capital Markets businesses.
This role offers hands on exposure to U.S. financial regulators, including FINRA, the Federal Reserve Bank, the Securities and Exchange Commission (SEC), and state regulators, and provides an excellent foundation for a career in regulatory affairs, compliance, or risk management within financial services. The position is focused on execution, coordination, documentation, and governance support rather than regulatory decision making.
The role also provides exposure to the use of technology enabled tools, including AI assisted documentation, tracking, and workflow solutions, to support efficient and effective regulatory engagement.
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
Regulatory Exam & Inquiry Support Assist with coordinating, supporting, and organizing regulatory exams and inquiries from FINRA, the Federal Reserve, the SEC, and state regulators—including annual, recurring, and ad-hoc reviews across Equities, Fixed Income, Sales Practices, Treasury, and Capital Markets—by managing information requests, supporting materials, and submission packages
Response Coordination & Tracking Manage trackers to monitor regulatory requests, deadlines, ownership, and response status; coordinate with internal stakeholders to gather required documentation and data; and review materials for completeness, accuracy, and consistency before submission
Stakeholder Interaction Collaborate with teams across Compliance, Legal, Operations, Treasury, Technology, Risk, and business areas to support regulatory activities, including preparing for regulatory meetings by developing agendas, materials, and tracking follow-up action items
Documentation, Governance & Process Support Support the drafting and maintenance of regulatory exam documentation—including chronologies, summaries, templates, and records—in compliance with confidentiality, information-security, and record-management requirements; and contribute to process improvements and responsible use of technology-enabled and AI-assisted tools for regulatory tracking, documentation, and governance
Skills You’ll Need
Bachelor’s degree in Finance, Economics, Business, Accounting, Risk Management, or a related field
Strong AI capabilities
Strong attention to detail and organizational skills and ability to manage multiple tasks and deadlines in a fast paced, highly regulated environment
Strong written and verbal communication skills
Proficiency in Microsoft Excel, PowerPoint, Word, and Outlook, including the ability to develop clear, well structured presentations and summary materials for meetings and senior stakeholders
Skills That Will Help You Excel
Internship or entry level experience in compliance, risk, audit, regulatory affairs, or financial services
Exposure to securities markets, financial regulation, or regulatory examinations
Interest in regulatory oversight, governance, or control functions
Demonstrated interest in leveraging technology and AI enabled tools to support regulatory coordination, documentation, and process improvement
Familiarity with data organization, trackers, workflow tools, or presentation materials used to support regulatory or compliance activities
Expectations
It is the Bank’s expectation that employees hired into this role will work in the New York, NY 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 New York City is $85,000 to $ 129,500. 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 remuneration.
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 here to learn more!
Learn more about your life at Deutsche Bank through the eyes of our current employees https://careers.db.com/life
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We strive for a culture in which we are empowered to excel together every day. This includes acting responsibly, thinking commercially, taking initiative and working collaboratively.
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.
Qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, protected veteran status or other characteristics protected by law. Click these links to view Deutsche Bank’s Equal Opportunity Policy Statement and the following notices: EEOC Know Your Rights; Employee Rights and Responsibilities under the Family and Medical Leave Act; and Employee Polygraph Protection Act.