Regulatory Support Associate

Job Description:

Job Title: Regulatory Support Associate

Corporate Title: Associate

Location: New York, NY

Overview

As a Regulatory Support Associate, you would be a member of the Business Supervisory Office (BSO) and work directly with the Front Office and Operations providing day-to-day control functions over our Private Bank’s Ultra-High Net Worth Banking and Brokerage client relationships.  Your role has a wide range, working directly with activities in client accounts, correspondence reviews, to important project work.  As Deutsche Bank’s Private Bank continues to grow, this role offers significant opportunities for professional development.

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

• Client account maintenance working with our Investment Managers and Customer Service.
• Trade management and allocation.
• Important daily management reporting utilized by our sales and supervisory teams.
• Incoming and outgoing correspondence reviews.
• Project work tied to regulatory or servicing initiatives.

Skills You’ll Need

• Relevant industry experience in Regulatory & Supervision with Broker/Dealer and/or Private Banking.
• Strong risk mindset, but also curious to engage with leadership team to develop new opportunities/enhancements
• Must be detail oriented on specific regulatory controls and have an analytical mindset with the ability to deliver key insights
• Prior experience working with international clientele/organizations preferred
• FINRA licensing, such as the Series 7, is not required for this role, however, would be encouraged for further development.

Skills That Will Help You Excel

• Excellent communication skills, both written and spoken.
• Motivated and enthusiastic team player, able to work with others in a fast-paced, independent, and dynamic financial environment.
• Aspiration for further growth opportunities
• Language: English, additional language skills such as Spanish would be preferential, but not required
• Ability to say ‘no’, while being solution focused

Expectations

It is the Bank’s expectation that employees hired into this role will work in the New York 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 $54,000 to $83,500. 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.

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

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.

#LI-HYBRID

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.