Compliance Testing (CT) Officer - Associate

Job Title Compliance Testing (CT) Officer

Corporate Title Associate

Location Jacksonville, FL

Overview

Deutsche Bank's Compliance Testing (CT) Team, an assurance function within Controls Testing & Assurance (CT&A), conducts testing on the design and operating effectiveness of the Firm's control framework to manage its Compliance Risk and adhere to applicable regulation and the Bank's policies. CT also helps confirm that control gaps are adequately escalated and mitigated through remedial actions.

The role is for an Americas Compliance Testing Officer reporting to the Americas Testing Team Lead in the Americas. The position is based in Jacksonville, FL.

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 Compliance Testing to assess and review compliance with legal, regulatory, and internal firm policy requirements applicable to Deutsche Bank products and services in the Americas

• Support and lead tests, reviews, and adherence checks across all Deutsche Bank Americas business activities and controls to evaluate adherence to regulatory requirements and whether a risk management framework is in place and is effectively managing Compliance risks

• Create design effectiveness and operating effectiveness test steps to assess whether Compliance risk management frameworks are effectively managing risk and follow laws and regulations

• Develop testing modules and conduct testing across all Deutsche Bank Americas business activities to evaluate adherence to regulatory requirements and compliance risks

• Ensure the review work plan addresses Compliance risks and regulatory priorities and the reviews are designed to meet applicable regulatory guidance

• Escalate potential issues and exception items noted during the review process to senior management for discussion and further investigation if deemed necessary, Advise team members with respect to applicable regulatory requirements to ensure testing is adequately designed to identify potential control gaps and non-compliance with laws and regulations

Skills You'll Need

• Bachelor's degree or equivalent is required

• Relevant experience working in Compliance risk management

• Minimum experience in an Audit, Testing, Quality Assurance, or Quality Control role focused on assessing Compliance risk management effectiveness

• Strong understanding and application of relevant broker-Dealer regulations, including the rules and regulations of the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA)

• Strong understanding of Compliance risk management frameworks associated with products and services offered by large multinational financial institutions, including (but not limited to) Private Bank, Corporate Bank, and Investment Bank businesses

Skills That Will Help You Excel

• Ability to identify matters that require further analysis and investigative skills (i.e. critical thinking, inquiry and analysis)

• Ability to understand and interpret various laws, regulations, and policies

• Solid communication skills (both written and verbal) including ability to write reports that summarize key risks, issues, and remedial actions

• Good organizational skills and attention to detail

• Ability to work autonomously and within teams, JD or MBA a plus

Expectations

It is the Bank's expectation that employees hired into this role will work in the Jacksonville, FL 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, FL is $54,000 to $77,400. 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.

Deutsche Bank Benefits

At Deutsche Bank, we recognize that our benefit programs have a profound impact on our colleagues. That's why we are focused on providing benefits and perks that enable our colleagues to live authentically and be their whole selves, at every stage of life. We provide access to physical, emotional, and financial wellness benefits that allow our colleagues to stay financially secure and strike balance between work and home. Click here to learn more!

Learn more about your life at Deutsche Bank through the eyes of our current employees https://careers.db.com/life

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

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