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Controls Testing & Assurance (CT&A) - Compliance Testing Officer - Assistant Vice President

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

Job Description:

Job Description:

Job Title: Controls Testing & Assurance (CT&A) - Compliance Testing Officer

Corporate Title: Assistant Vice President

Location: Jacksonville, FL

Overview

Deutsche Bank's Compliance Testing team, an assurance function within Controls Testing & Assurance (CT&A), conducts testing on the design and operating effectiveness of the Businesses' control environment and adherence to applicable regulation and the Bank's policies. Compliance Testing also helps confirm that control gaps are adequately escalated and mitigated through remedial actions. The primary focus for this Assistant Vice President role will be on the Firm's Origination & Advisory business.

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:

* Conduct compliance reviews under the direction of the Americas Head of CT&A Compliance Testing to assess and review compliance with legal, regulatory, and internal firm policy requirements applicable to Deutsche Bank products and services in the Americas


* Support Review Leads with the development of testing modules and help support testing across all Deutsche Bank Americas business activities. Experience with leading reviews is a strong plus


* Maintain solid working relationships with Business Line Compliance, Front Office, Operations, Group Audit, and other control groups throughout the region


* Identify Compliance risks inherent in a business or process and assess whether a control framework is in place to manage these risks or whether any existing control framework adequately manages the risks


* Determine the root cause of issues and develop effective remediation plans to mitigate the risks


* Escalate potential issues and exception items noted during the review process to senior management for discussion and further investigation if deemed necessary



Your Skills and Experience:

* BA or BS Degree; JD, MBA, or master's degree a plus


* Proficiency in Spanish and/or Portuguese a plus


* Good knowledge of regulations governing financial institutions including the rules and regulations of the FRB, OCC, FDIC, FINRA, SEC, NFA, and CFTC; knowledge of the products and services of Investment Banking/Capital Markets businesses (e.g., IPOs, Secondary Offerings, M&A)


* Understanding of Compliance Risks related to the Investment Banking business (e.g., Handling Material Non-Public Information, Information Barriers, Business Conflicts)


* Relevant experience with a financial services firm within Legal, Compliance, Operations or Audit, and/or regulatory organization in a role that relates to financial services, ability to understand and interpret various laws, regulations, and policies



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 , Controls Testing & Assurance (CT&A) - Compliance Testing Officer - Assistant Vice President, Executive , Jacksonville, Florida

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