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Job Title: Regulatory Control Advisor Corporate Title: Associate Location: New York
About Deutsche Bank
A Passion to Perform is what drives us. More than a claim, this describes the way we do business. We're committed to being the best financial services provider in the world, balancing passion with precision to deliver superior solutions for our clients. This is made possible by our people: agile minds, able to see beyond the obvious and act effectively in an ever-changing global business landscape. Diverse, international and shaped by a variety of different perspectives, we're driven by a shared sense of purpose. At every level agile thinking is nurtured. And at every level, agile minds are rewarded with competitive pay, support and opportunities to excel.
The Quality Assurance role is within the Finance Control Oversight (FCO) team. FCO is responsible for providing a portfolio view of risk across Finance and assisting in managing these risks against a defined risk appetite. FCO supports Finance in its proactive management of risk through the following:
Delivering transparent and robust risk based oversight
Providing relevant, timely and accurate control reporting to Finance Management
Defining control standards and key risk indicators
Challenging control weakness, undertaking lessons learnt reviews, highlighting emerging risks and supporting resolution
Oversight / support on tri-lateral regulator audits
Promoting positive culture & awareness, instilling a strong control mindset across Finance
The primary objective of the QA function with FCO is to provide an independent validation and enhancement of regulatory reporting data integrity. The QA function will provide periodic reviews of selected Deutsche Bank regulatory filings to evaluate the effectiveness of procedures and controls in place to contribute to the accuracy of the reports submitted to regulators. Key stakeholders include Finance including Regulatory Reporting and Product Control, Operations, and Business Lines.
Develop and maintain strong relationships within Finance and other areas of Deutsche Bank globally to build an understanding of the end-to-end control environments
Work within the QA team to assist in the execution of the annual QA review plan - focus on CCAR part of Finance
Perform QA reviews in accordance with the QA Framework standards
Communicate with management any issues from the review that may affect the accuracy of the regulatory reports filed or the supporting control environment
Draft QA issues (as they arise) that document the control deficiency or report inaccuracy, root cause and regulatory impact
Assist with the monitoring (i.e. follow-up and closing) of the outstanding QA issues
Assist with the QA informational slides for the Financial Control Forum monthly pack
Qualifications / Skills:
High level understanding of regulatory reporting for banking and broker dealer entities
Understanding of controls and practical application of control principles
Ability to challenge existing processes and recommend process and control improvements where relevant
Excellent verbal and written communication skills
Ability to deliver consistent and accurate information under pressurized time constraints
Able to multi-task and work well under pressure
Enthusiastic and results-oriented with proven ability to deliver results
Prior internal / external audit experience is desired but not required
Proficient with MS Office (Excel, Word, PowerPoint)