Compliance Officer

Position OverviewJob Title: Compliance OfficerCorporate Title: AVPLocation: São Paulo, BrazilOverviewCompliance is mandated by regulators to be a fully independent control function that monitors, assesses and trains on compliance with legal and regulatory requirements and internal policies, provides advice on compliance to the management body and other relevant staff, and establishes policies and processes to manage compliance risks. Furthermore, Compliance performs second level controls & testing, monitors and reports on against risk appetite and establishes procedures in case of risk type appetite breaches.This role within the Compliance Brazil advisory team covers a wide array of compliance responsibilities including but not limited to advice, advocacy, product/service review and approval, training, surveillance, regulatory watch and monitoring of controls as part of our comprehensive program for ensuring compliance with the Brazil regulations and guidelines as well as the global, regional and local standards, policies and procedures of Deutsche Bank, with the ultimate aim of protecting the interests of our clients and the integrity and reputation of Deutsche Bank. Based in Sao Paulo, you will provide proactive and sound advice on compliance and regulatory matters to business partners and will work closely with other functions of the Bank to ensure compliance with the highest standards of control and processes.You will focus on providing real-time support to the Investment Bank Sales & Trading business which focuses on Global Emerging Markets, in addition to Origination and Advisory Services and Corporate Banking solutions. You will advise on matters (questions, problems, or proposals) related to Investment and Corporate Banking activities, surveillance and monitoring of controls, supervision, and other topics that are typical for a large global investment bank.What We Offer YouA diverse and inclusive environment that embraces change, innovation, and collaboration.A hybrid working model, allowing for in-office / work from home flexibilityEmployee Resource Groups support an inclusive workplace for everyone and promote community engagementWhat You’ll DoProvide real-time advisory services to the business within Fixed Income & Currencies (FIC) Sales & Trading, Merger & Acquisition and Corporate Banking solutions. Identify regulatory trends and developments that impact business areas, and advise staff as to how this may impact their current activitiesAdvise business areas on Firm policies and procedures and applicable securities laws and regulations; draft, update, and implement relevant policies and proceduresProvide regulatory/compliance training; assist the Business in implementing and documenting various supervisory/control mechanismsParticipate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections; interact with regulators. Daily monitoring of judicial court orders received from Central Bank of Brazil (BCB), and Securities and Exchange Commission (CVM), to identify requests to the bank and review of the response letters to attend the court ordersSupport the global compliance monitoring program by providing input on the framework documents and completing verification checks as outlined the in the annual monitoring planPerform testing and monitoring of compliance with Firm policies and conduct risk assessments of the Business to ensure effective business control frameworkSkills You’ll NeedBachelor’s degree or equivalent; JD (Juris Doctor) or MBA is a plusSignificant financial industry experience. 10+ years Compliance/ Regulatory background in financial institutions. Required experience as business line compliance officer, interacting with regulatory bodies and of conducting general regulatory auditsExperience in team management is a plusFluency in Portuguese and English is mandatoryExcellent oral and written communication skillsAbility to make, support, and defend difficult and complex regulatory/compliance decisions in a fast-paced and high-pressured environmentAbility to project confidence and professionalism in dealings with senior business personnelSkills That Will Help You ExcelRelevant experience providing compliance or legal coverage to a sales or trading desk at a broker/dealer/regulated bank.Functional knowledge of the applicable laws, rules and regulations of the Central Bank of Brazil (BCB), Securities and Exchange Commission (CVM), Brazilian government and other relevant bank regulators; as well as industry best practiceStrong written and verbal communication and presentation skills, with the ability to effectively influence others and engage senior stakeholders and foster collaboration among Compliance, the Business and other infrastructure functionsAction-oriented and delivery focused with a disciplined approach and an ability to be proactive, work under pressure, and within tight deadlines while maintaining accuracy, showing initiative, and reacting quickly to changes in prioritiesAbility to project confidence and professionalism in dealings with senior business personnelExpectationsIt is the Bank’s expectation that employees hired into this role will work in the Brazil office in accordance with the Bank’s hybrid working model which means at least 3 days per week.Deutsche Bank provides reasonable accommodations to candidates and employees with a substantiated need based on disability and/or religion.Deutsche Bank Values & DiversityWe believe talent is found in all cultures, countries, races, ethnicities, genders, sexual orientations, disabilities, beliefs, generations, backgrounds and experiences. We pursue a working environment where everyone can be authentic and feel a sense of belonging. Click here to find out more about our diversity and inclusion efforts.We are an Equal Opportunity Employer - Veterans/Disabled and other protected categories.Click these links to view the following notices: EEO is the Law poster and supplement ; Employee Rights and Responsibilities under the Family and Medical Leave Act ; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination ProvisionLearn more about your life at DB through the eyes of our current employees: https://careers.db.com/lifeWe 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.