Jacksonville, Florida

Compliance Testing - Assistant Vice President

Job ID: 3194329

Full/Part-Time: Full-time

Regular/Temporary: Regular

Listed: 2019-06-21

Location: Jacksonville, United States of America

Regulation, Compliance & Anti-Financial Crime Regulation, Compliance and Anti-Financial Crime (AFC) protects the integrity and reputation of Deutsche Bank. It manages the Bank's risks and help to avert unintentional rule breaches and conflicts of interest. At the same time, we also advise the bank on ethical conduct and governance issues and keep the bank up to date on regulatory and political challenges.
Position Overview

Job Title: Compliance Testing

Corporate Title: Assistant Vice President

Location: Jacksonville, FL

Overview

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 open seating environment that encourages networking and collaboration across functions and businesses

    Hear from our people and look inside our office: DB@The Muse

    Your Role

    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, 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
    • 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

      Skills You'll Need:
      • Strong knowledge of regulations governing financial institutions including the rules and regulations of the FRB, OCC, FINRA, SEC, NFA, CFTC, FDIC and CFPB
      • Knowledge of Dodd-Frank (including Volcker Rule) and the Bank Holding Company Act is a plus
      • Undergraduate Degree required, JD or Masters is a plus
      • A background in compliance testing or audit is strongly preferred

        Skills That Will Help You Excel:
        • Strong analytical and investigative skills
        • Strong organizational and project management skills and attention to detail
        • 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

          About Deutsche Bank

          We are Germany's leading bank with strong positions in Europe and significant presence in the Americas and Asia Pacific. We're driving growth through our strong client franchise, investing heavily in digital technologies, prioritizing long-term success over short-term gains, and serving society with ambition and integrity. We serve our clients' real economic needs in commercial and investment banking, retail banking and transaction banking, and provide ground-breaking products and services in asset and wealth management. That means a career packed with opportunities to grow and the chance to shape the future of our clients.

          For candidates applying for positions in the US:

          Deutsche Bank is an Equal Opportunity Employer - Veterans/Disabled and other protected categories. Click these links to view the "EEO is the Law " poster and pay transparency statement.

Jacksonville, Florida

Our vision

We aspire to be the leading client-centric global universal bank

We serve shareholders best by putting our clients first and by building a global network of balanced businesses underpinned by strong capital and liquidity.

We value our German roots and remain dedicated to our global presence.

We commit to a culture that aligns risks and rewards, attracts and develops talented individuals, fosters teamwork and partnership and is sensitive to the society in which we operate.

Our values and beliefs

Integrity

  • We live by the highest standards of integrity in everything we say and do
  • We will do what is right – not just what is allowed
  • We communicate openly; we invite, provide and respect challenging views

Sustainable Performance

  • We drive value for shareholders by putting long-term success over short-term gain
  • We encourage entrepreneurial spirit which responsibly balances risk and returns
  • We pursue lasting performance by developing, nurturing and investing in the best talent and by managing based on merit

Client Centricity

  • We earn our clients’ trust by placing them at the core of our organization
  • We deliver true value by understanding and serving our clients’ needs best
  • We strive to pursue mutually beneficial client relationships in which the value created is shared fairly

Innovation

  • We foster innovation by valuing intellectual curiosity in our people
  • We enable our clients’ success by constantly seeking suitable solutions to their problems
  • We continuously improve our processes and platforms by embracing new and better ways of doing things

Discipline

  • We protect the firm’s resources by always thinking and acting like owners
  • We live by the rules and hold ourselves accountable to deliver on our promises – no excuses
  • We achieve operational excellence by striving to ‘get it right the first time’

Partnership

  • We build diverse teams to generate better ideas and reach more balanced decisions
  • We put the common goals of the firm before ‘silo’ loyalty by trusting, respecting and working with each other
  • We act as responsible partners with all our stakeholders and regulators, and in serving the wider interests of society

Our brand

Deutsche is clear: we are here to perform – in business and beyond. We do this with a unique mix of passion and precision. This measured approach gives us the confidence to enable agile minds to look beyond the obvious, gaining advantage for everyone we work with.

Similar jobs