Compliance Testing - Associate
- Ponte Vedra Beach, FL
Job Title: Compliance Testing
Corporate Title: Associate
Location: Jacksonville, FL
Compliance is seeking an Associate to work in our Compliance Team. The primary focus of the role is to 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 and work with the business and other stakeholders to design appropriate remedial actions to mitigate identified risks.
What We Offer You:
- We offer competitive health and wellness benefits, empowering you to value life in and out of the office
- On-site gym, cafeteria, health center, and communal meeting areas
- Active engagement with the local community through Deutsche Bank's specialized employee groups
- An environment that encourages networking and collaboration across functions and businesses
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 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, 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 and 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
Your Skills and Experience:
- Undergraduate Degree required, JD or Masters is a plus
- Strong knowledge of regulations governing financial institutions including the rules and regulations of the FRB, OCC, FINRA, SEC, NFA, CFTC, FDIC and CFPB and knowledge of Dodd-Frank (including Volcker Rule) and the Bank Holding Company Act is a plus
- A background in compliance testing, audit or risk is a strong plus
- 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 apply knowledge of regulations to numerous types of activities and operational arrangements in addition to interpreting the effect of new regulations on these activities
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.
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