Illinois CPA Society
Controls Testing & Assurance (CT&A) - Compliance Testing - Assistant Vice Presid
Illinois CPA Society, Jacksonville, Florida, United States, 32290
Job Description:Job Title:
Controls Testing & Assurance (CT&A) - Compliance Testing Officer
Corporate Title:
Assistant Vice President
Location:
Jacksonville, FL
Overview
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 Assistant Vice President role will be on the Firm's Origination & Advisory business.
Your Key Responsibilities:
Conduct compliance reviews under the direction of the Americas Head of CT&A Compliance Testing to assess and review compliance with legal, regulatory, and internal firm policy requirements applicable to Deutsche Bank products and services in the AmericasSupport Review Leads with the development of testing modules and help support testing across all Deutsche Bank Americas business activities. Experience with leading reviews is a strong plusMaintain solid working relationships with Business Line Compliance, Front Office, Operations, Group Audit, and other control groups throughout the regionIdentify 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 risksDetermine the root cause of issues and develop effective remediation plans to mitigate the risksEscalate potential issues and exception items noted during the review process to senior management for discussion and further investigation if deemed necessaryYour Skills and Experience:
BA or BS Degree; JD, MBA, or master's degree a plusProficiency in Spanish and/or Portuguese a plusGood knowledge of regulations governing financial institutions including the rules and regulations of the FRB, OCC, FDIC, FINRA, SEC, NFA, and CFTC; knowledge of the products and services of Investment Banking/Capital Markets businesses (e.g., IPOs, Secondary Offerings, M&A)Understanding of Compliance Risks related to the Investment Banking business (e.g., Handling Material Non-Public Information, Information Barriers, Business Conflicts)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, ability to understand and interpret various laws, regulations, and policiesSalary Range:The salary range for this position in Jacksonville is $75,000 to $110,000. Actual salaries may be based on a number of factors including, but not limited to, a candidate's skill set, experience, education, work location and other qualifications.
Deutsche Bank Values & Diversity
We believe talent is found in all cultures, countries, races, ethnicities, genders, sexual orientations, disabilities, beliefs, generations, backgrounds, and experiences. We pursue a working environment where everyone can be authentic and feel a sense of belonging.
We are an Equal Opportunity Employer - Veterans/Disabled and other protected categories.#J-18808-Ljbffr
Controls Testing & Assurance (CT&A) - Compliance Testing Officer
Corporate Title:
Assistant Vice President
Location:
Jacksonville, FL
Overview
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 Assistant Vice President role will be on the Firm's Origination & Advisory business.
Your Key Responsibilities:
Conduct compliance reviews under the direction of the Americas Head of CT&A Compliance Testing to assess and review compliance with legal, regulatory, and internal firm policy requirements applicable to Deutsche Bank products and services in the AmericasSupport Review Leads with the development of testing modules and help support testing across all Deutsche Bank Americas business activities. Experience with leading reviews is a strong plusMaintain solid working relationships with Business Line Compliance, Front Office, Operations, Group Audit, and other control groups throughout the regionIdentify 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 risksDetermine the root cause of issues and develop effective remediation plans to mitigate the risksEscalate potential issues and exception items noted during the review process to senior management for discussion and further investigation if deemed necessaryYour Skills and Experience:
BA or BS Degree; JD, MBA, or master's degree a plusProficiency in Spanish and/or Portuguese a plusGood knowledge of regulations governing financial institutions including the rules and regulations of the FRB, OCC, FDIC, FINRA, SEC, NFA, and CFTC; knowledge of the products and services of Investment Banking/Capital Markets businesses (e.g., IPOs, Secondary Offerings, M&A)Understanding of Compliance Risks related to the Investment Banking business (e.g., Handling Material Non-Public Information, Information Barriers, Business Conflicts)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, ability to understand and interpret various laws, regulations, and policiesSalary Range:The salary range for this position in Jacksonville is $75,000 to $110,000. Actual salaries may be based on a number of factors including, but not limited to, a candidate's skill set, experience, education, work location and other qualifications.
Deutsche Bank Values & Diversity
We believe talent is found in all cultures, countries, races, ethnicities, genders, sexual orientations, disabilities, beliefs, generations, backgrounds, and experiences. We pursue a working environment where everyone can be authentic and feel a sense of belonging.
We are an Equal Opportunity Employer - Veterans/Disabled and other protected categories.#J-18808-Ljbffr