BUS - Compliance Officer – Bank Holding Controls Monitoring Reviewer - Analyst

Job Description:

Job Title Compliance Officer – Bank Holding Company Controls Monitoring Reviewer

Corporate Title Analyst

Location Jacksonville, Florida

The Bank Holding Compliance (BHC) team is responsible for the development and maintenance of the Compliance Framework for Deutsche Bank’s Combined U.S. Operations (DB CUSO), and associated bank/ bank holding company policies and compliance programs. The BHC team supports the US Compliance Monitoring Program (US CMP) as part of that framework. This professional will focus on providing support for an expanded approach to US CMP, a program that reviews (monitors) the adequacy of existing controls for the population of US Compliance risk related rules, creates and executes monitoring approach documents and reporting, and will adapt current processes as the program matures and enhanced toolsets are adopted.

The Monitoring team must work closely with the Global Compliance Monitoring
- Compliance Testing & Assurance team for alignment, leveraging of toolsets and approaches, and possible resource alignment longer term.

• 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 that 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

• Perform monitoring reviews of compliance with controls that are mapped to Compliance US laws, rules and regulations, and create reports in a required monitoring template
• The candidate must be able to read, understand and apply complex banking regulations to businesses that operate across different regulators and multiple Deutsche Bank US legal entities

• Bachelor’s degree or equivalent; regulatory, audit and/or testing experience a plus
• Experience in a large financial institution with multiple businesses and divisions, and multiple locations including but not limited to US offices, and global office locations
• Knowledge of bank and/or securities regulations in a large financial services firm helpful
• Audit or testing knowledge to create and perform monitoring reviews specific to Compliance risk managed rules and regulations
• Proficiency to work with Excel, Word, PowerPoint, SharePoint, and workflow tools

• Experience working in compliance in a financial institution
• Understanding of compliance regulation, risks and internal controls, with a specific focus on US regulations
• Functional knowledge of Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), broker dealer regulations and other relevant bank regulations
• Strong written and verbal communication and presentation skills, with the ability to effectively influence others and engage senior stakeholders and foster collaboration among Compliance, the Business and other infrastructure functions
• Action-oriented and delivery focused with a disciplined approach and an ability to be proactive, work under pressure, and within tight deadlines while maintaining accuracy, showing initiative, and reacting quickly to changes in priorities, Ability to project confidence and professionalism in dealings with senior business personnel

It is the Bank’s expectation that employees hired into this role will work in the Jacksonville, Florida 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 $48,000 to $68,800. 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.