Swap Dealer Compliance Officer - Analyst

Deutsche Bank Jacksonville , FL 32277

Posted 1 week ago

Swap Dealer Compliance Officer

  • Analyst

Job ID: 3187852 Full/Part-Time: Full-time Regular/Temporary: Regular Listed: 2019-03-19 Location: Jacksonville, United States of America

Regulation, Compliance & Anti-Financial Crime

Regulation, Compliance and Anti-Financial Crime (AFC) protects the integrity and reputation of Deutsche Bank. It manages the Bank's risks and help to avert unintentional rule breaches and conflicts of interest. At the same time, we also advise the bank on ethical conduct and governance issues and keep the bank up to date on regulatory and political challenges.

Position Overview

Job Title: Swap Dealer Compliance Officer

Corporate Title: Analyst

Location: Jacksonville, FL

About Deutsche Bank

We are Germany's leading bank with strong positions in Europe and significant presence in the Americas and Asia Pacific. We're driving growth through our strong client franchise, investing heavily in digital technologies, prioritizing long-term success over short-term gains, and serving society with ambition and integrity. We serve our clients' real economic needs in commercial and investment banking, retail banking and transaction banking, and provide ground-breaking products and services in asset and wealth management. That means a career packed with opportunities to grow and the chance to shape the future of our clients.


At Deutsche Bank, good compliance is everybody's responsibility. The Compliance department's core functions support good compliance practice to prevent and detect violations of all applicable laws, rules and principles that observe high standards of individual behavior and business conduct.

Working closely with the business, compliance professionals ensure that our risk based program is both globally effective and locally anchored to our key divisional businesses. As an independent and robust second level control function, the Compliance Department seeks to manage compliance risk and deepen the culture of compliance at Deutsche Bank through the development and management of strategies that are sustainable and increases the trust of our clients.


You will be responsible for supporting the implementation and management of the overall compliance program for the CFTC-regulated swap and SEC-regulated security-based swap trading activities of Deutsche Bank globally, and for the foreign-regulated swap activities conducted by Deutsche Bank in the US. You will be part of the team supporting the Head of Swap Dealer Compliance (the equivalent of a Swap Dealer Chief Compliance Officer, subject to substituted compliance). Deutsche Bank's swap dealer entities collectively conduct US-facing swap dealing activities in products including Commodities, Rates, Credit, Equities, and FX. You will be responsible to develop and maintain a robust global compliance program for Deutsche Bank's Swap Dealer to ensure compliance with all applicable regulatory requirements.

Key Responsibilities:

  • Assist with the ongoing development and implementation of Deutsche Bank's Swap Dealer Manual and other Policies and Procedures to ensure that they are reasonably designed to achieve compliance with the requirements of Title VII of the Dodd-Frank Act

  • Assist with the development and implementation of such Policies and Procedures as necessary to comply with regulations applicable to Deutsche Bank's swap activities

  • Provide ongoing support to the Head of Swap Dealer Compliance, including:

  • Recommend and implement changes to the compliance program and the Swap Dealer Manual and related policies/procedures as needed on an ongoing basis

  • Draft and coordinate the dissemination of regular Compliance Alerts/Reminders globally to ensure that the front office and infrastructure groups are aware of new rules/regulations and policies/procedures relating to the Swap Dealer

  • Work with business management and Compliance surveillance staff on the development of first and second-level controls/surveillance needed for the Swap Dealer

  • Work with Compliance Testing teams and/or Audit staff on the development and ongoing testing/monitoring of the effectiveness of the policies and procedures of the Swap Dealer

  • Work with Business Line Compliance staff covering product lines and other relevant areas on annual Swap Dealer risk assessments

  • Work with Compliance Training staff on the development and coordination of initial and ongoing training for employees on requirements impacting the Swap Dealer

  • Prepare the Annual Compliance Report for the Swap Dealer, and any other required periodic reports that the Head of Swap Dealer Compliance will be required to make to the governing body or relevant regulatory authorities

You will have:

  • Understanding of the swap market for one or more product classes.

  • Compliance or regulatory experience, preferably with an investment bank, federal regulator or self-regulatory organization, or in a trading environment, risk management function, or law firm

  • A Bachelor's degree; JD is a plus

  • An understanding of Title VII of the Dodd-Frank Act as pertains to the obligations of Swap Dealers and Security-based Swap Dealers

  • Excellent oral and written communication skills

  • The ability to project confidence and professionalism in dealings with business personnel

  • The ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced trading floor environment

  • Familiarity with trade entry/capture systems is a plus

  • Securities and/or futures licenses is a plus

  • Experience in an investment banking environment is a plus

You will be:

  • Able to execute projects against plans with governance and reporting

  • Able to proactively manage and escalate risks in an appropriate manner

  • Experienced in leading meetings across senior levels of cross-functional representatives

  • Able to develop relationships at all levels and all functions and build virtual teams across functions and work well within a team

  • Able to work under pressure and within tight deadlines

  • Strong analytically with good attention to detail

  • Exhibit excellent computer literacy, specifically Microsoft Office

  • Action oriented with a strong focus on completing tasks while working independently and with minimum direction

  • A strong manager and leader in a matrix organization

  • Focus on engagement and execution to drive results and lead change

For candidates applying for positions in the US:

Deutsche Bank is an Equal Opportunity Employer

  • Veterans/Disabled and other protected categories. Click these links to view the "EEO is the Law" poster and pay transparency statement.
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Swap Dealer Compliance Officer - Analyst

Deutsche Bank