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Employee Compliance Licensing and Registration - Analyst
Employee Compliance Licensing and Registration - AnalystDeutsche Bank • Jacksonville, FL, US
Employee Compliance Licensing and Registration - Analyst

Employee Compliance Licensing and Registration - Analyst

Deutsche Bank • Jacksonville, FL, US
30+ days ago
Job type
  • Full-time
Job description

Employee Compliance Licensing and Registration

Compliance is seeking an Analyst to work on our US Licensing and Registration team. You will be expected to support the daily operations of registering internal employees / legal entities with Financial Industry Regulatory Authority (FINRA), NFA, Federal Reserve Bank (FRB) and state insurance regulators along with other projects as required for the US Region. The team is also responsible for performing an independent 2nd level control function and providing effective advice and tools as it pertains to registration related issues.

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

  • Provide support to various areas within Deutsche Bank by facilitating all employee and entity related registration filings (FINRA, Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), FRB) and maintain accurate and complete records
  • Provide advice and counsel to business partners and ensure compliance on matters pertaining to licensing and registration related matters
  • Perform all aspects of registration and file the appropriate documentation with regulators
  • Drive the delivery of operational processes including the execution of Form U4 / U5, Form 8R / 8T and Form GFIN4 / 5
  • Work closely with other team members and provide assistance when needed
  • Liaise and prepare responses for state and federal regulatory inquiries i.e. day-to-day activities, Provide subject matter expertise on regulatory change initiatives

    • Skills You'll Need

  • Proficient years of experience within Broker-Dealer and / or investment advisor experience
  • Bachelors' degree or equivalent work experience is required, excellent written and verbal communication skills
  • Highly organized and detail-oriented person who is comfortable working both independently and within a team environment
  • Self-motivated, driven, proactive, personable and able to communicate effectively (written & oral)
  • Ability to manage multiple tasks and prioritize workflow

    • Skills That Will Help You Excel

  • Knowledge of FINRA's Web CRD system, Rules and Regulations and NFA ORS system
  • Strong analytical, interpersonal skills, professionalism and teamwork awareness
  • Ability to communicate issues to Senior Management
  • Proficient in Word, Excel and PowerPoint
  • Ability to define and track deliverables through to implementation

    • Expectations

    It is the Bank's expectation that employees hired into this role will work in the Jacksonville, FL 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 Jacksonville, FL is $40,000 to $62,750. 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.

    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.

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    Licensing Analyst • Jacksonville, FL, US