Controls Testing & Assurance CT&A - Compliance Testing - Fixed Income and Currencies - Vice President
Location: New York, New York
Type: Full Time
Internal Number: 20412825
Job Title Controls Testing & Assurance CT&A - Compliance Testing - Fixed Income and Currencies
Corporate Title Vice President
Location New York
Deutsche Bank's Compliance Testing Team, an assurance function within 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 (VP role will be on coverage of the Firm's compliance with Fixed Income & 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 gift and volunteer programs
What You'll Do
Supervise Compliance Testing reviews of the Firm's Institutional FIC Sales and Trading businesses
Conduct compliance reviews 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 of the FIC business by working with colleagues who will report into you
Coordinate and establish working relationships with key Firm stakeholders including the Front Office, Business Line Compliance, and control groups supporting the FIC business
Skills You'll Need
BA or BS Degree a must. JD, MBA or master's degree a plus
Extensive years' experience with a financial services firm and/or self-regulatory organization in a Compliance, Legal or Audit role
Moderate years' 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 (FRB), Outbound Control Centers (OCC), Federal Deposit Insurance Corporation (FDIC), Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), NFA, and Commodity Futures Trading Commission (CFTC)
Skills That Will Help You Excel
History of managing employees and Compliance Testing reviews
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, and strong organizational and project management skills and attention to detail
It is the Bank's expectation that employees hired into this role will work in the New York office in accordance with the Bank's hybrid working model.
Deutsche Bank provides reasonable accommodations to candidates and employees with a substantiated need based on disability and/or religion.
The salary range for this position in New York City is $120,000 to $200,000. 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. Posted salary ranges do not include incentive compensation or any other type of renumeration.
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. Click here to find out more about our diversity and inclusion efforts.
We are an Equal Opportunity Employer - Veterans/Disabled and other protected categories.
Click these links to view the following notices: EEO is the Law poster and supplement ; Employee Rights and Responsibilities under the Family and Medical Leave Act ; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision
Learn more about your life at Deutsche Bank through the eyes of our current employees: https://careers.db.com/life
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Our values define the working environment we strive to create - diverse, supportive and welcoming of different views. We embrace a culture reflecting a variety of perspectives, insights and backgrounds to drive innovation. We build talented and diverse teams to drive business results and encourage our people to develop to their full potential. Talk to us about flexible work arrangements and other initiatives we offer.
We promote good working relationships and encourage high standards of conduct and work performance. We welcome applications from talented people from all cultures, countries, races, genders, sexual orientations, disabilities, beliefs and generations and are committed to providing a working environment free from harassment, discrimination and retaliation.
Visit Inside Deutsche Bank to discover more about the culture of Deutsche Bank including Diversity, Equity & Inclusion, Leadership, Learning, Future of Work and more besides.
We are an Equal Opportunity Employer - Veterans/Disabled and other protected categories. Click these links to view the following notices: EEO is the Law poster and supplement ; Employee Rights and Responsibilities under the Family and Medical Leave Act ; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision .