Compliance, Regulation and CEO Auditor

  • Negotiable
  • New York, NY, USA
  • Permanent, Full time
  • Deutsche Bank - US
  • 10 Dec 18

Overview: 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.

Job Title: Compliance, Regulation and CEO Auditor Corporate Title: Assistant Vice President Location: New York, New York

About Deutsche Bank

We are Germany's leading bank with strong positions in Europe and significant presence in the Americas and Asia Pacific. We're driving growth through our strong client franchise, investing heavily in digital technologies, prioritizing long-term success over short-term gains, and serving society with ambition and integrity. We serve our clients' real economic needs in commercial and investment banking, retail banking and transaction banking, and provide ground-breaking products and services in asset and wealth management. That means a career packed with opportunities to grow and the chance to shape the future of our clients.

Overview:

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

You 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

You 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