CT&A Compliance Testing - Assistant Vice President

Job Title CT&A Compliance Testing

Corporate Title Assistant Vice President

Location Jacksonville

Overview

Deutsche Bank's Controls Testing & Assurance Compliance Testing team, a part of the Compliance Department, conducts reviews to evaluate the Firm's compliance with applicable laws and regulations and to help ensure that control gaps are adequately escalated and mitigated through remedial actions.

What We Offer You

• A diverse and inclusive environment that embraces change, innovation, and collaboration

• A hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer days

• Employee Resource Groups support an inclusive workplace for everyone and promote community engagement

• Competitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefits

• Educational resources, matching gift and volunteer programs

What You'll Do

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

• Develop testing modules and conduct testing across all Deutsche Bank Americas business activities to evaluate adherence to regulatory requirements and compliance risks, Maintain solid working relationships with Business Line Compliance, Front Office, Operations, Group Audit, and other control groups throughout the region, Participate in developing a review work plan based on the results of the annual compliance risk assessment, in consultation with the Americas Head of Compliance Testing, Regulatory Adherence and Business Line Compliance management. Ensure review work plan addresses regulatory priorities and that reviews are designed to meet applicable regulatory guidance

• Advise team members with respect to applicable regulatory requirements to ensure testing is adequately designed to identify potential control gaps and non-compliance with laws and regulations, 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

• Escalate potential issues and exception items noted during the review process to senior management for discussion and further investigation if deemed necessary, Prepare and distribute reports to senior management detailing review findings and recommendations. Periodically report on significant activities conducted and planned for the upcoming period

• Ensure that all findings and recommendations are entered into Compliance Testing's Issue Tracker for tracking purposes and perform required follow-up of open issues to ensure proper resolution

• Meet with senior management in Compliance, the Business and other control functions to provide overview of significant risks and control gaps

Skills You'll Need

• BA or BS Degree required, advanced degree (JD, MBA or Master's Degree) a plus

• A background in compliance testing, audit or risk, with 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

• Be able to determine the root cause of issues and develop effective remediation plans to mitigate the risks

Skills That Will Help You Excel

• Ability to understand and interpret various laws, regulations, and policies

• A background in compliance testing or audit is strongly preferred

• Excellent interpersonal and communication skills with the ability to interact effectively with internal and external stakeholders, including regulators and senior management

• Ability to apply knowledge of regulations to numerous types of activities and operational arrangements in addition to interpreting the effect of new regulations on these activities

Expectations

It is the Bank's expectation that employees hired into this role will work in the Jacksonville, FL 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.

The salary range for this position in Jacksonville is $75,000 to $110,750.Actual salaries may be based on a number of factors including, but not limited to, a candidate's skill set, experience, education, work location and other qualifications. Posted salary ranges do not include incentive compensation or any other type of remuneration.

Deutsche Bank Benefits

At Deutsche Bank, we recognize that our benefit programs have a profound impact on our colleagues. That's why we are focused on providing benefits and perks that enable our colleagues to live authentically and be their whole selves, at every stage of life. We provide access to physical, emotional, and financial wellness benefits that allow our colleagues to stay financially secure and strike balance between work and home. Click here to learn more!

Learn more about your life at Deutsche Bank through the eyes of our current employees https://careers.db.com/life

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We welcome applications from all people and promote a positive, fair and inclusive work environment.

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