Registered Principal

Deutsche Bank•Jacksonville, FL

1d•$75,000 - $110,000•Hybrid

About The Position

The Marketing Review Officer is a member of the Business Supervisory Office and works directly with the front office, senior leaders, sales teams, Compliance, and Legal to review and approve advertisements, marketing materials, sales literature, and certain other types of correspondence created and utilized by the Private Bank. This role requires experience with an active Financial Industry Regulatory Authority (FINRA) Series 24 reviewing communications and marketing materials acting as a gatekeeper. You will supervise content from a broker/dealer and a bank therefore familiarity of regulatory rules associated with “Communications with the Public” is required.

Requirements

Relevant industry experience in Regulatory & Supervision
Series 7, 24, (Series 4 optional)
Strong risk mindset, but also curious to engage with leadership team to develop new opportunities/enhancements
Prior experience working with international clientele/organizations preferred
Language: English
Must be detail oriented on specific regulatory controls and have an analytical mindset with the ability to deliver key insights
Ability to say ‘no’, while being solution focused

Nice To Haves

additional language skills such as Spanish would be preferential, but not required
Motivated and enthusiastic team player, able to work with others in a fast paced, independent, and dynamic financial environment
Aspiration for further growth opportunities
Strong communication skills

Responsibilities

Review and approval of communications with the public
Review, approval, and maintenance of relevant Policies and Procedures such as Written Supervisory Procedures and Key Operating Drivers
Risk MIS / report review, resolution, escalations
Role is both tactical and strategic in nature –you will be responsible for coordination of strategic longer-term initiatives, can build strong relationships with senior leadership team and initiate/develop enhancements projects as well as day to day support in these initiatives
Liaise with Legal, Compliance, Divisional Control Office, market and product heads, Agile and Chief Operating Office and other internal partners to develop and implement solutions/compliance with various regulatory (internal and external) requirements
Act as a FINRA Series 24 Registered Principal to review and approve retail and institutional communications, correspondence, advertising, sales literature, website content, presentations, emails, educational materials, and other marketing communications.
Ensure communications comply with applicable regulatory requirements, including: FINRA Rule 2210 (Communications with the Public) FINRA Rule 3110 supervisory requirements Regulatory guidance, firm policies, and industry best practices
Provide regulatory guidance to business stakeholders regarding disclosures, performance presentations, product descriptions, and marketing campaigns.
Assist in carrying out supervision of the US Private Banking Business to ensure compliance with applicable rules and regulations
Assist in the surveillance of capital market trades i.e., analyze trade alerts to identify relevant Market Abuse themes such as front running, pump and dump, market manipulation etc.
Verify the trades executed are in the best interest and in line with the suitability (i.e., risk profile) of the client

Benefits

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
physical, emotional, and financial wellness benefits that allow our colleagues to stay financially secure and strike balance between work and home.

Stand Out From the Crowd

Upload your resume and get instant feedback on how well it matches this job.

Upload and Match Resume