Conduct Compliance Auditor

  • USD100000 - USD130000 per year
  • Manhattan, NY, USA
  • Permanent, Full time
  • Deutsche Bank - US
  • 13 Feb 18 2018-02-13


Conduct Compliance Auditor
Job ID: 3159011 Full\/Part-Time: Full-time Regular\/Temporary: Regular Listed: 2017-08-31 Location: New York, United States of America

Group Audit
The Group Audit (GA) function comprises over 700 staff located in our four hub locations New York, London, Frankfurt, Singapore and 26 other countries across the globe.
The function is a professional, business focused, proactive risk-based global audit team that operates with transparency, integrity and independence, and assists the Bank's business and infrastructure areas to identify key control weaknesses.
The GA team prides itself in ensuring the highest standard in professional delivery. The function provides a systematic, disciplined approach to examine, evaluate and report objectively on the adequacy of both the design and operating effectiveness of the systems of internal control and the effectiveness of risk management and governance processes.
Being Deutsche Bank's 'third line of defence' we have a high profile in the Bank acting as an independent and forward looking challenger and adviser to Senior Management and are increasingly relied upon by the Regulators.
Our global connectivity provides a stimulating environment and the opportunity to collaborate, network and share knowledge with intelligent colleagues and specialists around the world. Our colleagues are known for their agile minds, looking beyond the obvious, and challenging the status-quo in an open-minded, collaborative way. We consistently invest in our people, offering genuine opportunities for development and advancement. Position Overview

Job Title: Conduct Compliance Auditor

About Deutsche Bank
A Passion to Perform is what drives us. More than a claim, this describes the way we do business. We're committed to being the best financial services provider in the world, balancing passion with precision to deliver superior solutions for our clients. This is made possible by our people: agile minds, able to see beyond the obvious and act effectively in an ever-changing global business landscape. Diverse, international and shaped by a variety of different perspectives, we're driven by a shared sense of purpose. At every level agile thinking is nurtured. And at every level, agile minds are rewarded with competitive pay, support and opportunities to excel.
This role reports to the Principal Audit Manager for Compliance, Regulation & CEO in the U.S. region - who in turn reports to the Global Chief Auditor for Compliance, Regulation & CEO.
You will work with management and staff within Group Audit to deliver audits that focus on Conduct related processes and controls pertaining to Deutsche Bank's Designated Market Activities.
Key Responsibilities:
Group Audit is seeking an audit professional at an Assistant Vice President level. The core responsibilities of this role are:

  • Evaluate the adequacy and effectiveness of internal controls relating to Compliance & Regulatory risks, specific to conduct related designated market activities, in accordance with Group Audit methodology and the established risk assessment framework.
  • Execute Conduct related Compliance & Regulatory risk assessments for the U.S. region.
  • Undertake audit assignments, draft audit issues for review by audit management, conduct tracking of audit findings and validate closure of audit findings.
  • Liaise with CIB Conduct Team to provide input on Conduct related matters and audits.
  • When required, assist in training other Group Audit staff on Compliance & Regulatory topics.
  • Develop and maintain broad regulatory knowledge & experience, focusing on Conduct related events. Stay abreast of business\/industry changes and their effect on the team's audit plan, audit methodology and risk assessments.
  • Pro-actively develop and maintain professional working relationships with colleagues, the business and respective support areas. Work in an integrated manner with fellow team members both locally and globally.
  • Complete all work assignments on a timely basis - including planned audits, ad hoc projects and special investigations.
    The successful candidate will have:
    • Experience of covering Compliance & Regulatory topics in an Internal Audit or examination role within the financial services sector.
    • A thorough understanding of banking and brokerage risk and control environment, and knowledge of the regulatory environment specific to Conduct related regulations. Professional credentials, including degree level education and relevant professional qualifications.
    • Experience with risk and controls pertaining to Surveillance, Control Room, and Compliance Testing functions.
    • Excellent written & verbal communication skills, with the ability to communicate effectively at all levels within Group Audit and with Stakeholders.
    • The ability to multi-task assignments and prioritize workloads with minimal supervision.
    • A firm commitment to maintaining the highest professional and ethical standards - and the ability to stand your ground when challenged - are key to succeeding in this role.
      The successful candidate will be:
      • Flexible, pro-active, self-sufficient and innovative, with strong organizational and multi-tasking skills,
      • Able to take ownership and responsibility of agreed targets and deliver on commitments within budget, in order to ensure timely and efficient completion of audit projects.
      • A role model for your peer group, demonstrating the highest professional and ethical standards in all aspects of the role.

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