Registered Principal
Core
Review and approve marketing materials, advertisements, and communications for Deutsche Bank's Private Bank to ensure compliance with FINRA and SEC regulations.
Role type
Senior Regulatory Review Officer (FINRA Series 24)
Builds
Compliant marketing content and supervisory procedures for the US Private Banking Business
Domain
Financial Services / Regulatory Compliance
Required skills
FINRA Series 24 license, FINRA Rule 2210 expertise, SEC/Federal Reserve regulations knowledge, trade surveillance analysis, suitability verification
Preferred skills
Series 7 license, Series 4 license, Spanish language skills, international clientele experience, AI tool proficiency
Technologies
AI tools for workflow optimization
Responsibilities
Review and approve retail and institutional communications, advertisements, and sales literature; Provide regulatory guidance on disclosures and marketing campaigns; Assist in surveillance of capital market trades for market abuse; Coordinate strategic compliance initiatives with senior leadership and internal partners
Seniority
Senior, hands-on IC