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

Controls Testing & Assurance Compliance Testing Fixed Income and Currencies

Job Title Controls Testing & Assurance Compliance Testing Fixed Income and Currencies

Corporate Title 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 Vice President role will be on coverage of the Firm's compliance with Fixed Income and 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 gifts, and volunteer programs

What You'll Do

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

How You'll Lead

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

Skills You'll Need

BA or BS Degree is a must. JD, MBA or master's degree a plus

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

Skills That Will Help You Excel

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

Expectations

It is the Bank's expectation that employees hired into this role will work in the Jacksonville 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 Jacksonville is $96,000 to $140,850. 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 remuneration.

We strive for a culture in which we are empowered to excel together every day. This includes acting responsibly, thinking commercially, taking initiative and working collaboratively.

Together we share and celebrate the successes of our people. Together we are Deutsche Bank Group.

We welcome applications from all people and promote a positive, fair and inclusive work environment.