Overview

You’ll be joining the Compliance Controls Testing (CCT) team which is primarily responsible for risk-based compliance testing across the Global Markets (GM), Asset Management (AM), Corporate and Investment Banking (CIB) and Private Wealth and Corporate Clients (PWCC) business groups in the Europe Middle East Africa (EMEA) region. The scope of activity is determined by the risk categories in the Compliance Control Framework that have been assigned to CCT. Reviews focus on the identification of areas of inconsistency against regulatory requirements. The team is also responsible for validating, reporting and tracking of progress against action plans established to mitigate findings.

You’ll report to the United Kingdom (UK) Head of CCT Asset Wealth Management (AWM).  You’ll conduct compliance monitoring and controls testing reviews across the Deutsche Bank Asset Management division in the UK.  The key objective of each review is to assess the adequacy and effectiveness of internal controls and to address compliance with local regulatory requirements.

Key Responsibilities:

  • Identifying the scope and testing approach for reviews in line with the CCT methodology
  • Conducting fieldwork in line with the agreed test programme and adequately documenting tests and findings
  • Developing recommendations for corrective action based on review findings
  • Writing reports that present review results, articulating the rationale for findings, the risks posed and actions required to address those risks
  • Working with Business Line Compliance Officers and Management to agree on appropriate action plans
  • Tracking agreed actions through to conclusion and reporting on progress upon completion of reviews
  • Developing good working relationships with key stakeholders including Business Line Compliance Officers, Business Divisions and other Infrastructure / Control functions at all levels including senior stakeholders
  • Developing and maintaining a broad knowledge of the Firm’s business and regulatory framework in which it operates
  • Supervising, coaching and developing more junior members of staff

 Skills & Qualifications:

  • Relevant experience in Asset Management and a thorough understanding of regulations and risks affecting the division
  • Recent experience of delivering compliance monitoring / internal audit reviews in a complex corporate environment (e.g. banking, large financial services institution, Big 4 firm)
  • The ability to understand and interpret various laws, regulations and policies
  • Strong investigative and analytical skills – enquiry, analysis, interviewing, testing
  • Strong verbal, written and presentation skills
  • Proven senior management engagement experience including the ability to influence and drive change
  • The ability to work independently with minimum direction
  • Educated to Bachelor’s degree level (or equivalent qualifications / work experience)
  • A conduct-related qualification and / or significant conduct-related work experience
  • Familiarity with financial products and instruments
  • Action oriented with a strong focus on completing tasks with accuracy
  • Delivery focused, demonstrating an ability to work under pressure and within tight deadlines

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