Compliance Testing - Associate

Job Description:

Job Title Compliance Testing

Corporate Title Associate

Location Jacksonville, FL

Overview

Deutsche Bank’s Compliance Testing team, a part of the Chief Administrative Office (CAO) division, conducts reviews to evaluate the firm’s compliance with applicable laws and regulations and to help ensure that control gaps are adequately escalated and mitigated through remedial actions. Compliance Testing is responsible for conducting regional and global compliance reviews across divisions to ensure that the organization adheres to legal, regulatory, and internal policies and procedures. This position requires the ability to work independently with various stakeholders to execute deliverables.

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 You’ll Do

• Conduct and/or support compliance reviews under the direction of the Americas Head of Compliance Testing in order to assess and review compliance with legal, regulatory and internal firm policy requirements applicable to Deutsche Bank products and services in the Americas

• Assist in the developing of 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

• Identify 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 risks

• Prepare and distribute reports to senior management detailing review findings and recommendations. Periodically report on significant activities conducted and planned for the upcoming period

• Some travel may be required

Skills You’ll Need

• Strong 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, NFA, and Commodity Futures Trading Commission

• Knowledge of Corporate Banking and/or Private Bank related products and services

• 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 …