- Conduct Compliance Testing reviews of the Firms O&A business to assess and review compliance with legal, regulatory, and internal firm policy requirements applicable to Deutsche Bank products and services in the Americas
- Lead and support tests, reviews and adherence checks across O&A business activities and controls to evaluate adherence to regulatory requirements and whether the control framework is in place and is effectively managing Compliance risks
- Create design effectiveness and operating effectiveness test steps to assess whether O&A control 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
- Meet with senior management in Compliance, the business and other control functions to provide overview of significant risks and control gaps.
- Maintain solid working relationships with Business Line Compliance, Front Office, Operations, Group Audit, and other control groups throughout the region.
Your skills and experience
- Bachelors degree or advanced degree (e.g., JD, MBA, etc.) a plus but not required
- Minimum of 5 to 10+ years experience with a financial services firm and/or self-regulatory organization in a Compliance, Legal or Audit role.
- 3 to 5+ years experience in a Compliance Testing or Audit role
- Knowledge of O&A products and relevant regulations is a must.
- Knowledge of regulations governing financial institutions including the rules and regulations of the FRB, OCC, FDIC, FINRA, SEC, NFA, and CFTC.
- Knowledge of Swap Dealer regulatory requirements or understanding of derivative instruments is a strong plus.
- Flexibility to work in line with US Working Hours.
Skills That Will Help You Excel
- Ability to identify matters that require further analysis and investigative skills (i.e., critical thinking, inquiry, and analysis).
- Solid communication skills (both written and verbal) including ability to write reports that summarize key risks, issues, and remedial actions.
- Ability to understand and interpret various laws, regulations, and policies.
- Good organizational skills and attention to detail
- Ability to work autonomously and within teams
