Controls Testing & Assurance (“CT&A”) – Compliance Testing – Fixed Income and Currencies (“FIC”) - Vice President
Deutsche Bank
New York City, NY
$125,000 per year
Permanent
Full-time
15 days ago
Job Description:Job Title Controls Testing & Assurance (“CT&A”) – Compliance Testing – Fixed Income and Currencies (“FIC”)Corporate Title Vice PresidentLocation New York, NYOverviewDeutsche 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 VP role will be on coverage of the Firm’s compliance with FIC rules and regulations and relevant Firm Policies & Procedures.What We Offer YouA diverse and inclusive environment that embraces change, innovation, and collaborationA hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer daysEmployee Resource Groups support an inclusive workplace for everyone and promote community engagementCompetitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefitsEducational resources, matching gift, and volunteer programsWhat You’ll DoConduct 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 AmericasDevelop testing modules and conduct testing across all Deutsche Bank Americas business activities to evaluate adherence to regulatory requirements and compliance risksMaintain solid working relationships with Business Line Compliance, Front Office, Operations, Group Audit, and other control groups throughout the regionParticipate 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 guidanceHow You’ll LeadManage Compliance Testing reviews of the FIC business by working with colleagues who will support youCoordinate and establish working relationships with key Firm stakeholders including, the Front Office, Business Line Compliance, and control groups supporting the FIC businessSkills You’ll NeedBA or BS Degree a must. JD, MBA or master’s degree a plusExtensive relevant experience with a financial services firm and/or self-regulatory organization in a Compliance, Legal or Audit roleModerate relevant experience with Compliance Testing or AuditKnowledge of FIC products and relevant regulations is a mustKnowledge of regulations governing financial institutions including the rules and regulations of the FRB, OCC, FDIC, FINRA, SEC, NFA, and CFTCSkills That Will Help You ExcelHistory of conducting Compliance Testing reviews or similar reviews/auditsStrong business writing skillsExcellent 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 plansStrong analytical and investigative skillsStrong problem-solving skills including the ability to identify the root cause of issues. Strong organizational and project management skills and attention to detailExpectationsIt is the Bank’s expectation that employees hired into this role will work in the New York, NY 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 $125,000 to $ 183,500. 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 Values & DiversityWe 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 to find out more about our diversity and inclusion efforts.We are an Equal Opportunity Employer - Veterans/Disabled and other protected categories.Learn more about your life at Deutsche Bank through the eyes of our current employees:The California Consumer Privacy Act outlines how companies can use personal information. If you are interested in receiving a copy of Deutsche Bank’s California Privacy Notice, please email .Deutsche Bank BenefitsAt 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 to learn more!Click these links to view the following notices: and ; ; and#LI-HYBRID#LI-REMOTE#LI-ONSITEOur 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 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: and ; ; and .
