Compliance Testing - Vice President
- Ponte Vedra Beach, FL
Job Title: Compliance Testing
Corporate Title: Vice President
Location: Jacksonville, FL
Deutsche Bank's 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:
- 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, 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 and determine the root cause of issues and develop effective remediation plans to mitigate the risks
Your Skills and Experience:
- BA or BS Degree a must; MBA or Master's Degree a plus
- Strong knowledge of regulations governing financial institutions including the rules and regulations of the FRB, OCC, FDIC, FINRA, SEC, NFA, and CFTC and knowledge of the Bank Holding Company Act (including Anti-tying, IHC, CCAR) and Bank Regulatory requirements such as Regulation W, Regulation D, etc
- 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
- Strong analytical and investigative skills as well as problem solving skills including the ability to identify the root cause of issues
How You'll Lead:
- Excellent interpersonal and communication skills with the ability to interact effectively with internal and external stakeholders, including regulators and senior management
- Ability to manage multiple compliance reviews and projects at the same time and meet timely deadlines
- 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
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.
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