CT&A Compliance Testing - Assistant Vice President
CT&A Compliance Testing - Assistant Vice President
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$ 75000 - 110750
1 Vacancy
Job Description
Job Description:
Job Title CT&A Compliance Testing
Corporate Title Assistant Vice President
Location Jacksonville
Overview
Deutsche Banks Controls Testing & Assurance Compliance Testing team a part of the Compliance Department conducts reviews to evaluate the Firms 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 inoffice / 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 Youll 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 noncompliance 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 Testings Issue Tracker for tracking purposes and perform required followup 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 Youll Need
BA or BS Degree advanced degree (JD MBA or Masters Degree) a plus advanced experience in lieu of degree
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 Banks expectation that employees hired into this role will work in the Jacksonville FL office in accordance with the Banks 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 $75000 to $ salaries may be based on a number of factors including but not limited to a candidates 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. Thats 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 California Consumer Privacy Act outlines how companies can use personal information. If you are interested in receiving a copy of Deutsche Banks California Privacy Notice please email.
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Together we share and celebrate the successes of our people. Together we are Deutsche Bank Group.
We welcome applications from all people and promote a positive fair and inclusive work environment.
We are an Equal Opportunity Employer Veterans/Disabled and other protected categories. Click these links to view the following notices:EEOC Know Your Rights;Employee Rights and Responsibilities under the Family and Medical Leave Act;Employee Polygraph Protection ActandPay Transparency Nondiscrimination Provision.
Required Experience:
Chief
Employment Type
Full-Time
