Job Description:

Our client, a global bank, is seeking to hire a highly motivated candidate to assist in providing compliance oversight for its Structured Credit Finance and Trading (“Structured Credit”) businesses, including origination, structuring, trading, as well as related sales teams.

The company’s US Structured Credit platform consists of a number of groups described in more detail below, many of which collaborate closely with each other.

Global Credit Financing & Solutions consists of the following three businesses:

  1. Transportation, Infrastructure & Energy provides financing to aircraft and other commercial transport companies, as well as finances infrastructure and energy assets, including their construction.
  2. ABS Banking provides origination and warehousing capabilities in the asset-backed securitization space across a variety of asset classes.
  3. Credit Solutions & Direct Lending trades and originates bank loans and also provides financing for securities.

Credit Structuring originates and executes transactions sourced from corporate investment banking coverage that are typically funded out of GCF&S.

Commercial Real Estate provides financing to public corporations, private equity groups and individuals owning or acquiring commercial real estate assets in all property types including hotel and lodging, industrial, manufactured housing, multi-family, office and retail across the Americas and Europe. The group originates mortgage loans secured by commercial real estate both for portfolio and securitization or other exit strategies, buys or funds the purchase of pools of non-performing commercial mortgage loans and works with special servicers to maximize value, coordinates hedging of loan portfolios and otherwise manages loan portfolios, and issues and underwrites securitizations, structuring the transactions and acting as transaction manager.

Securitized Product Trading engages in secondary market making in CMBS, private label RMBS and SFR, US Consumer and other ABS, CDOs and CLOs.

Securitized Products Sales and the Structured Solutions Group is specialized sales forces that distribute securitized products and work closely with clients on secondary trades as well as highly complex structured credit transactions.


  • An Analyst with at least 2 years experience or an Associate with at least 1 year of experience at an investment bank, asset management firm, hedge fund or private equity firm.
  • A functional understanding of structured credit and /or securitized products.
  • Ability to identify and escalate relationships or transactions that pose reputational risk to DB or create a conflict of interest.
  • Ability to work in a fast-paced and high pressured environment.
  • Ability to project confidence and professionalism in dealings with business personnel.
  • Effective communication skills, as the candidate must routinely collaborate and partner with Compliance colleagues in other jurisdictions, as well as in other asset classes, to resolve or address regulatory and/or compliance concerns.
  • An undergraduate degree from an accredited institution.


  • Develop knowledge of rules and regulations applicable to the various Structured Credit businesses.
  • Research emerging compliance risks relevant to the various Structured Credit businesses and draft memos outlining identified risks and potential mitigation strategies.
  • Develop ability to assist addressing real time questions and requests; perform the requisite analysis to address the questions/requests when needed.
  • Assist in preparation of Compliance management information both periodic and ad hoc.
  • Create and maintain US Structured Credit Compliance significant matters dashboard to feed to into Global Markets Compliance significant matters dashboard.
  • Monitor regulatory and surveillance reporting and escalate issues.
  • Draft reports and presentations.
  • Prepare draft responses to various requests from senior business management.
  • Attend and contribute to meetings and provide summary minutes to the team.
  • Prepare initial drafts of policies and procedures.
  • Provide support to other US Structured Credit Compliance team members on an ad hoc basis.
  • Develop and enhance compliance policies and procedures and coordinate with global colleagues in developing global standards.
  • Assist with the establishment of an appropriate control framework tailored to the activities of the specific US Structured Credit business lines.
  • Analyze proposed and enacted regulations and determine impact to supported US Structured Credit business lines.
  • Assist in conducting periodic risk assessments of the US Structured Credit business lines and their control frameworks.
  • Assist in developing and delivering compliance training on appropriate topics.
  • Develop TRACE reporting expertise and monitor TRACE reporting related to the Securitized Products Trading desk.
  • Proficiency in Microsoft Office Suite, PowerPoint, Excel and SharePoint.

Please email resumes to Jack Kelly – JKelly@ComplianceSearch.com


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