Controls Testing & Assurance – Compliance Testing – Fixed Income and Currencies - Vice President

Deutsche Bank • Jacksonville, FL

23d • $96,000 - $140,850 • Hybrid

About The Position

Deutsche Bank’s Compliance Testing Team, an assurance function within Controls Testing & Assurance (CT&A) , conducts testing on the design and operating effectiveness of the Businesses’ control environment and adherence to applicable regulation and the Bank’s policies. Compliance Testing also helps confirm that control gaps are adequately escalated and mitigated through remedial actions. The primary focus for this Vice President role will be on coverage of the Firm’s compliance with Fixed Income and Currencies (FIC) rules and regulations and relevant Firm Policies & Procedures. 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 gifts, and volunteer programs What You’ll Do Conduct Compliance Testing reviews of the Firm’s Institutional FIC Sales and Trading businesses under the direction of the Americas Head of CT&A 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 CT&A, Business Line Compliance and Business management. Ensure the review work plan addresses: 1) compliance risks, key controls and regulatory priorities; and 2) the reviews are designed to meet applicable regulatory guidance How You’ll Lead Manage Compliance Testing reviews of the FIC business by working with colleagues who will support you Coordinate and establish working relationships with key Firm stakeholders including, the Front Office, Business Line Compliance, and control groups supporting the FIC business, including Group Audit

Requirements

• BA or BS Degree is a must. JD, MBA or master’s degree a plus
• Extensive experience with a financial services firm and/or self-regulatory organization in a Compliance, Legal or Audit role
• Proficient experience with Compliance Testing or Audit
• Knowledge of FIC products and relevant regulations is a must
• Knowledge of regulations governing financial institutions including the rules and regulations of the Federal Reserve Bank, Outbound Control Centers, Federal Deposit Insurance Corporation, Financial Industry Regulatory Authority, Securities and Exchange Commission, National Futures Association, and Commodity Futures Trading Commission
• History of conducting Compliance Testing reviews or similar reviews/audits
• Strong business writing skills
• Excellent interpersonal and communication skills with the ability to interact effectively with internal and external stakeholders, including regulators and senior management. This includes the ability to independently vet findings, issues, deficiencies and helping to develop remediation plans
• Strong analytical and investigative skills
• Strong problem-solving skills including the ability to identify the root cause of issues
• Strong organizational and project management skills and attention to detail

Responsibilities

• Conduct Compliance Testing reviews of the Firm’s Institutional FIC Sales and Trading businesses under the direction of the Americas Head of CT&A 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 CT&A, Business Line Compliance and Business management. Ensure the review work plan addresses: 1) compliance risks, key controls and regulatory priorities; and 2) the reviews are designed to meet applicable regulatory guidance
• Manage Compliance Testing reviews of the FIC business by working with colleagues who will support you
• Coordinate and establish working relationships with key Firm stakeholders including, the Front Office, Business Line Compliance, and control groups supporting the FIC business, including Group Audit

Benefits

• 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 gifts, and volunteer programs
• At Deutsche Bank, we recognize that our benefit programs have a profound impact on our colleagues. That’s 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 5,001-10,000 employees