eFinancialCareers

• Company

  Deutsche Bank

• Location

  Baltimore, MD, 21202

• Compensation

  competitive/ DOE

• Position Type

  Employee

• Employment type

  Full time

• Updated

  05 Sep 2008

• eFC Ref no

  443917

About Deutsche Bank Deutsche Bank is a leading global investment bank with a strong and profitable private clients franchise. A leader in Germany and Europe, the bank is continuously growing in North America, Asia and key emerging markets.

With 75,140 employees in 75 countries, Deutsche Bank offers unparalleled financial services throughout the world. The bank competes to be the leading global provider of financial solutions for demanding clients creating exceptional value for its shareholders and people. www.db.com

Private Wealth Management: Serving high net worth individuals, their families and select institutions worldwide Private Wealth Management offers a fully-integrated wealth management service embracing discretionary portfolio management, asset allocation across all asset classes (incl. alternative investments), tax advisory, inheritance planning and philanthropic advisory services.

MARKETING REVIEW GROUP OFFICER

Responsibilities Include: As part of the COO Branch Supervisory Office, the MRG Officer is responsible for the review and approval of all marketing and performance reporting materials supplied by Client Advisors. The MRG Officer will ensure that all materials are in compliance with applicable regulatory rules and facilitate filings with FINRA and Compliance prior to distribution to Clients and internal staff. The MRG Officer will also ensure consistency in cataloguing and documenting of all materials in a centralized location.

-Verify compliance with applicable regulatory requirements (e.g., FINRA, SEC) -Determine whether materials require regulatory pre-approval prior to use -Provide Series 24 approval for marketing materials -Apply consistent disclosures to all marketing materials -Ensure proper documentation of the approvals and record keeping -Ensure dated materials are updated or removed from circulation -Approve all client correspondence that includes performance reporting data, except in cases where inputs are automated by the PMAS/Lockwood system -Upon roll-out of the new ad hoc performance reporting template, MRG Officer will verify and approve all templates used for ad hoc reporting -Review and approve all customized reports prior to distribution to clients or other individuals -Ensure copies of approved materials, templates and associated documentation (e.g., signature) have tracking numbers located on the materials -Responsible for storing all documents electronically or in hardcopy on an as needed basis, work with other groups to provide input on training of marketing rules and internal procedures.

Skills Required: -Bachelors degree required -Series 7 and 24 required. Series 65 strongly recommended after hire. -4+ years of Financial Services industry experience -Related experience as review officer specializing in FINRA, NASD, SEC marketing rules and regulations -Knowledge of regulatory and marketing concepts and terms -Knowledge of brokerage business and securities products (i.e., mutual funds, options, hedge funds, private equity and debt products), concepts and terms -Ability to understand performance reporting/calculations -Must be detail oriented and strong analytical focus -Strong interpersonal and consultative skills -Self-motivated, resourceful and effectively works independently -Proven ability to work effectively in a fast paced and challenging environment -Ability to effectively handle multiple priorities and operate under tight deadlines -Proficient in Microsoft Office applications and strong aptitude for learning new applications

*Deutsche Bank is an Equal Opportunity/Affirmative Action (M/F/D/V) employer.*