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Compliance & Conduct Auditor - Assistant Vice President

Company: Deutsche Bank
Location: Jacksonville
Posted on: November 26, 2022

Job Description:

Job Description:

Job Title: Compliance & Conduct Auditor

Corporate Title: Assistant Vice President

Location: Jacksonville, FL


The Group Audit (GA) team is a professional, business focused, proactive risk-based global audit team that operates with transparency, integrity and independence, and assists the Bank's business and infrastructure areas to identify key control weaknesses.

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:

* Develop and maintain an in-depth understanding of compliance function and mitigating controls to address compliance and conduct risk across the Bank

* Execute audit testing and coordinate with team members to ensure audit fieldwork is focused on the right areas and documentation meets high quality standards

* Identify risks, assess mitigating controls, and make recommendations on improving the control environment

* Prepare commercially effective audit conclusions and findings, and present to GA senior management and business clients

* Follow-up on open audit findings and their resolution and execute validation testing for regulatory findings

* Participate in department-wide initiatives aimed at continually improving GA's processes and supporting infrastructure

Your Skills and Experience:

* Understanding of financial concepts and/or operations related to corporate and investment banking, asset & wealth management, private and retail banking, specifically from a compliance perspective

* Knowledge in any of the following areas: Securities & Exchange Commission (SEC); Commodity Futures Trading Commission (CFTC); Federal Reserve System (Fed); Federal Deposit Insurance Corporation (FDIC); Financial Crimes Enforcement Network (FinCEN); Financial Industry Regulatory Authority (FINRA); Office of the Comptroller of the Currency (OCC); Consumer Financial Protection Bureau (CFPB); National Association of Insurance Commissioners (NAIC); National Futures Association (NFA)

* Master's degree

* Relevant certification or industry accreditation (e.g., CPA, CFA, CIA, NASD Series)


The salary range for this position in New York City is $115,000 to $155,000. Actual salaries may be based on a number of factors including, but not limited to, a candidate's skill set, experience, education and other qualifications. Posted salary ranges do not include incentive compensation or any other type of renumeration

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.

Click here to find out more about our diversity and inclusion policy and initiatives.

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.

Keywords: Deutsche Bank, Jacksonville , Compliance & Conduct Auditor - Assistant Vice President, Executive , Jacksonville, Florida

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