Compliance Testing (CT) Officer - Associate
Compliance Testing (CT) Officer - Associate
Employer Active
Job Alert
You will be updated with latest job alerts via email
Share
Job Alert
You will be updated with latest job alerts via email
$ 54000 - 77400
1 Vacancy
Job Description
Job Description:
Job Title Compliance Testing (CT) Officer
Corporate Title Associate
Location Jacksonville FL
Overview
Deutsche Banks Compliance Testing (CT) Team an assurance function within Controls Testing & Assurance (CT&A) conducts testing on the design and operating effectiveness of the Firms control framework to manage its Compliance Risk and adhere to applicable regulation and the Banks policies. CT also helps confirm that control gaps are adequately escalated and mitigated through remedial actions.
The role is for an Americas Compliance Testing Officer reporting to the Americas Testing Team Lead in the Americas. The position is based in Jacksonville FL.
What We Offer You
A diverse and inclusive environment that embraces change innovation and collaboration
A hybrid working model allowing for in-office / 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 Testing to assess and review compliance with legal regulatory and internal firm policy requirements applicable to Deutsche Bank products and services in the Americas
Support and lead tests reviews and adherence checks across all Deutsche Bank Americas business activities and controls to evaluate adherence to regulatory requirements and whether a risk management framework is in place and is effectively managing Compliance risks
Create design effectiveness and operating effectiveness test steps to assess whether Compliance risk management frameworks are effectively managing risk and follow laws and regulations
Develop testing modules and conduct testing across all Deutsche Bank Americas business activities to evaluate adherence to regulatory requirements and compliance risks
Ensure the review work plan addresses Compliance risks and regulatory priorities and the reviews are designed to meet applicable regulatory guidance
Escalate potential issues and exception items noted during the review process to senior management for discussion and further investigation if deemed necessary 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
Skills Youll Need
Bachelors degree or equivalent is required
Relevant experience working in Compliance risk management
Minimum experience in an Audit Testing Quality Assurance or Quality Control role focused on assessing Compliance risk management effectiveness
Strong understanding and application of relevant broker-Dealer regulations including the rules and regulations of the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA)
Strong understanding of Compliance risk management frameworks associated with products and services offered by large multinational financial institutions including (but not limited to) Private Bank Corporate Bank and Investment Bank businesses
Skills That Will Help You Excel
Ability to identify matters that require further analysis and investigative skills (i.e. critical thinking inquiry and analysis)
Ability to understand and interpret various laws regulations and policies
Solid communication skills (both written and verbal) including ability to write reports that summarize key risks issues and remedial actions
Good organizational skills and attention to detail
Ability to work autonomously and within teams JD or MBA a plus
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 FL is $54000 to $77400. Actual 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.
#LI-HYBRID
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:
IC
Employment Type
Full-Time
