Compliance Testing Jobs

Job Title: Compliance Testing

Corporate Title: Assistant Vice President

Location: New York, NY

Overview

Compliance is seeking an associate to work in our compliance team. The primary focus of the role is to conduct compliance reviews under the direction of the Americas Head of Compliance Testing in order to assess and review compliance with legal, regulatory, and internal Firm policy requirements and work with the business and other stakeholders to design appropriate remedial actions to mitigate identified risks.

What We Offer You:

• An environment that encourages networking and collaboration across functions and businesses
• Active engagement with the local community through Deutsche Bank’s specialized employee groups
• We offer competitive health and wellness benefits, empowering you to value life in and out of the office

Return to Office:

• Deutsche Bank provides reasonable accommodations to candidates and employees with a substantiated need based on disability and/or religion
• It is the Bank’s expectation that employees hired into this role will work in the New York City office in accordance with the Bank’s hybrid working model

Hear from our people and look inside our office: DB@The Muse

Your Key Responsibilities:

• Identify compliance risks inherent in a business or process and assess whether a control framework is in place to manage these risks or whether any existing control framework adequately manages the risks
• 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
• Develop testing modules and conduct testing across all Deutsche Bank Americas business activities to evaluate adherence to regulatory requirements and compliance risks
• Conduct compliance reviews under the direction of the Americas Head of Compliance Testing in order to assess and review compliance with legal, regulatory and internal Firm policy requirements applicable to Deutsche Bank products and services in the Americas
• Participate in developing a review work plan based on the results of the annual compliance risk assessment, in consultation with the Americas Head of Compliance Testing, regulatory adherence and business line compliance management, ensure review work plan addresses regulatory priorities, and that reviews are designed to meet applicable regulatory guidance
• Maintain solid working relationships with business line compliance, front office, operations, and other control groups throughout the region

Your Skills and Experience:

• Strong knowledge of regulations governing financial institutions including the rules and regulations of the FRB, OCC, FINRA, SEC, NFA, CFTC, FDIC and CFPB and knowledge of Dodd-Frank (including Volcker Rule) and the Bank Holding Company Act is a plus
• Undergraduate degree required, JD or master’s is a plus
• Ability to apply knowledge of regulations to numerous types of activities and operational arrangements in addition to interpreting the effect of new regulations on these activities
• A background in compliance testing, audit, or risk is a strong plus
• Relevant experience with a financial services firm within legal, compliance, operations or audit and/or regulatory organization in a role that relates to financial services

Expectations

The salary range for this position in New York City is $85,000 to $140,000. 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 DB through the eyes of our current employees: https://careers.db.com/life

Hear from our people and look inside our office: DB@The Muse

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 [email protected].

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.