Registrations and Licensing Analyst - Analyst

Job Title: Registrations and Licensing Analyst

Corporate Title: Analyst

Location: Jacksonville, FL

Overview

Compliance is now seeking an Analyst to work in our Employee Compliance Department on our Registrations and Licensing Team. The primary focus of the role is responsible for registering internal employees with Financial Industry Regulatory Authority (FINRA) and Net Foreign Assets (NFA) along with other projects as required. The position is based in Jacksonville, FL.

What We Offer You:

• We offer competitive health and wellness benefits, empowering you to value life in and out of the office
• Active engagement with the local community through Deutsche Bank’s specialized employee groups
• An environment that encourages networking and collaboration across functions and businesses

Return to Office:

• It is the Bank’s expectation that employees hired into this role will work in the Jacksonville 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

Hear from our people and look inside our office: DB@The Muse

Your Key Responsibilities:

• Provide support to various areas within Deutsche Bank by registering clients with FINRA and NFA and maintain accurate and complete records; advise the Business and ensure compliance on matters pertaining to FINRA and NFA licensing and registration
• Perform all aspects of registration and file the appropriate documentation with regulators
• Drive the delivery of operational processes including the execution of Form U4, Form 8-R, Form U5 and Form 8-T
• Process insurance entity renewals
• Prepare and distribute weekly management information
• Assist with the preparation and filing of Securities and Exchange Commission (SEC) Transfer Agent Filings

Your Skills and Experience:

• Minimum of a Bachelors’ degree or equivalent work experience
• Excellent written and verbal communication skills; highly organized, detail-oriented, and comfortable working both alone and within a team environment
• Ability to manage multiple tasks, prioritize workflow, and define and track deliverables through to implementation
• Familiarity with FINRA’s Web Central Registration Depository (CRD) system, NFA ORS system and insurance industry National Insurance Producer Registry (NIPR) system preferred; professional experience in a broker-dealer business, investment advisory, state regulator or compliance role is preferred
• Proficient in Word, Excel, and PowerPoint

Our values define the working environment we strive to create - diverse, supportive and welcoming of different views. We embrace a culture reflecting a variety of perspectives, insights and backgrounds to drive innovation. We build talented and diverse teams to drive business results and encourage our people to develop to their full potential. Talk to us about flexible work arrangements and other initiatives we offer.
We promote good working relationships and encourage high standards of conduct and work performance. We welcome applications from talented people from all cultures, countries, races, genders, sexual orientations, disabilities, beliefs and generations and are committed to providing a working environment free from harassment, discrimination and retaliation.



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 Provision .