Compliance Officer â Bank Holding Company Controls Monitoring Officer, Vice President
Compliance Officer â Bank Holding Company Controls Monitoring Officer, Vice President
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$ 100000 - 145500
1 Vacancy
Job Description
Job Description:
Job Title Compliance Officer Bank Holding Company Controls Monitoring Officer
Corporate Title Vice President
Location Jacksonville Florida
Overview
The Bank Holding Compliance team is responsible for the development and maintenance of the Compliance Framework across Deutsche Banks Combined U.S. Operations (Deutsche Bank CUSO). The BHC team in Jacksonville supports the US Compliance Monitoring Program. This professional will manage and provide realtime support to the US Compliance Monitoring Program (US CMP). US CMP is a F4 remediation finding that needs to manage & coordinate various controls for numerous US Compliance risk related rules creating enhanced monitoring approach documents and reporting working closely with the Global Monitoring team for alignment toolsets and possible resource alignment longer term.
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 that 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
Continue to develop enhance and deliver a Compliance Monitoring Program that relies on multiple teams & data sources including C&AFC Frameworks & Programs (US Laws Rules Regulations (LRRs) & Compliance Risk Assessment (CRA)) NFRM (dbGRC controls) Global and US Compliance Testing & Assurance (CT&A) for monitoring of controls that manage US LRRS
Lead team and manage all aspects of the US CMP: coordinate reviews create reporting and governance forum materials and manage performance of 100 200 monitoring reviews annually some which may leverage DB Group level work with close coordination on the DB Group reviews
Manage testing and monitoring of compliance with firm policies and conduct risk assessments of the Business to ensure effective business control framework
Manage and leverage technology/systems to implement improved tracking reporting and adapt processes to use the DB Group monitoring tool and maintain the
Escalate issues with proposed solutions to the team lead in a timely fashion
How Youll Lead
Manage testing and monitoring of compliance with firm policies and conduct risk assessments of the Business to ensure effective business control framework
Advise business areas on firm policies and procedures and applicable securities laws and regulations Draft update and implement relevant policies and procedures Provide regulatory/compliance training
Lead team and oversee the management frequency calendar of reviews create reporting and governance forum materials and perform Quality Assurance (QA) over an estimated 150 180 monitoring reviews annually
Skills Youll Need
Bachelors degree or equivalent is required
PMP (Project Management Professional) a plus
Audit or Compliance testing SME knowledge to contribute to creating a strong CMP with improved metrics and reporting
Functional knowledge of how to apply US regulations and associated DB policies including but not limited to FINRA & SEC FRB OCC FDIC and other financial services firm regulators
Experience working in Compliance Testing or Audit ideally in a financial institution
Analytical with the ability to provide practical solutions within DB Group standards
An enthusiastic team player; able to build strong open dialoguebased relationships with
relevant Stakeholders
Skills That Will Help You Excel
Experience in providing legal regulatory or compliance advice in connection with investment banking advisory engagements and transactions is essential
Strong written and verbal communication and presentation skills with the ability to effectively influence others and engage senior stakeholders and foster collaboration among Compliance the Business and other infrastructure functions
Actionoriented and delivery focused with a disciplined approach and an ability to be proactive work under pressure and within tight deadlines while maintaining accuracy showing initiative and reacting quickly to changes in priorities
Ability to project confidence and professionalism in dealings with senior business personnel
Able to work independently to manage projects and deliverables to completion
Expectations
It is the Banks expectation that employees hired into this role will work in the Jacksonville Florida 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 $100000 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 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!
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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
