Regulatory Support Associate
About The Position
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.
Requirements
- 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
Nice To Haves
- 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
- FINRA licensing, such as the Series 7, is not required for this role, however, would be encouraged for further development.
Responsibilities
- 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.
Benefits
- 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
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Education Level
No Education Listed
Number of Employees
5,001-10,000 employees
