Compliance Officer - Bank Holding Company Controls Monitoring Officer, Vice President

Job Title Compliance Officer - Bank Holding Company Controls Monitoring Officer

Corporate Title Vice President

Location Jacksonville, Florida

Overview

The Bank Holding Compliance team is responsible for the development and maintenance of the Compliance Framework across Deutsche Bank's Combined U.S. Operations (Deutsche Bank CUSO). The BHC team in Jacksonville supports the US Compliance Monitoring Program. This professional will manage and provide real-time support to the US Compliance Monitoring Program (US CMP). US CMP is a F4 remediation finding that needs to manage & coordinate various controls for numerous US Compliance risk related rules, creating enhanced monitoring approach documents and reporting, working closely with the Global Monitoring team for alignment, toolsets, and possible resource alignment longer term.

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 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

What You'll Do

• Continue to develop, enhance and deliver a Compliance Monitoring Program that relies on multiple teams & data sources including C&AFC Frameworks & Programs (US Laws, Rules, Regulations (LRRs) & Compliance Risk Assessment (CRA)), NFRM (dbGRC controls), Global and US Compliance Testing & Assurance (CT&A) for monitoring of controls that manage US LRRS

• Lead team and manage all aspects of the US CMP: coordinate reviews, create reporting and governance forum materials and manage performance of 100 -200 monitoring reviews annually, some which may leverage DB Group level work with close coordination on the DB Group reviews

• Manage testing and monitoring of compliance with firm policies and conduct risk assessments of the Business to ensure effective business control framework

• Manage and leverage technology/systems to implement improved tracking, reporting and adapt processes to use the DB Group monitoring tool, and maintain the

• Escalate issues with proposed solutions to the team lead in a timely fashion

How You'll Lead

• Manage testing and monitoring of compliance with firm policies and conduct risk assessments of the Business to ensure effective business control framework

• Advise business areas on firm policies and procedures and applicable securities laws and regulations, Draft, update, and implement relevant policies and procedures, Provide regulatory/compliance training

• Lead team and oversee the management frequency calendar of reviews, create reporting and governance forum materials and perform Quality Assurance (QA) over an estimated 150 -180 monitoring reviews annually

Skills You'll Need

• Bachelor's degree or equivalent is required

• PMP (Project Management Professional) a plus

• Audit or Compliance testing SME knowledge to contribute to creating a strong CMP with improved metrics, and reporting

• Functional knowledge of how to apply US regulations and associated DB policies, including but not limited to FINRA & SEC, FRB, OCC, FDIC and other financial services firm regulators

• Experience working in Compliance, Testing or Audit, ideally in a financial institution

• Analytical, with the ability to provide practical solutions within DB Group standards

• An enthusiastic team player; able to build strong, open dialogue-based relationships with

  relevant Stakeholders

Skills That Will Help You Excel

• Experience in providing legal, regulatory or compliance advice in connection with investment banking advisory engagements and transactions is essential

• 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

• Able to work independently to manage projects and deliverables to completion

Expectations

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 $100,000 to $145,500.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 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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