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Deutsche Bank · 2 weeks ago

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

Jacksonville, FL

Full-time

Hybrid

Mid, Senior Level

$96K/yr - $141K/yr

Deutsche Bank is a leading global investment bank and financial services company, and they are seeking a Vice President for their Compliance Testing Team. The primary focus of this role is to conduct compliance testing reviews of the Firm’s Institutional Fixed Income and Currencies Sales and Trading businesses, ensuring adherence to legal, regulatory, and internal firm policy requirements.

BankingFinanceFinancial Services

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

Qualification

Compliance TestingFIC products knowledgeRegulatory knowledgeFinancial services experienceAudit experienceBusiness writing skillsAnalytical skillsInterpersonal skillsProblem-solving skillsOrganizational skills

Required

BA or BS Degree is a must

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

Preferred

JD, MBA or master's degree a plus

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