Job Title: Compliance Testing
Corporate Title: Associate
Location: Jacksonville, Florida
Overview
TheBank’s Compliance Testing team, a part of the Chief Administrative Office (CAO) division, 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 and/or support 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
- Assist in the developing of 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
- 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
- Prepare and distribute reports to senior management detailing review findings and recommendations. Periodically report on significant activities conducted and planned for the upcoming period
- Some travel may be required
Skills You’ll Need
- Strong knowledge of regulations governing financial institutions including the rules and regulations of the Federal Reserve Bank (FRB), Office of the Comptroller of the Currency (OCC), Federal Deposit Insurance Corporation (FDIC), Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), NFA, and Commodity Futures Trading Commission (CFTC)
- Knowledge of Corporate Banking and/or Private Bank related products and services
- 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
- Excellent interpersonal and communication skills with the ability to interact effectively with internal and external stakeholders, including regulators and senior management
Skills That Will Help You Excel
• Strong business writing skills.
• Strong analytical and investigative skills.
• Strong organizational and project management skills and attention to detail.
• Ability to support multiple compliance reviews and projects at the same time and meet timely deadlines.
• A background in compliance testing, audit or risk is a strong plus.
This role is being worked on by and external recruitment team.
