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

Deutsche Bank is a leading global investment bank and financial services company. The Compliance Officer will focus on supporting the US Compliance Monitoring Program by reviewing the adequacy of existing controls related to compliance risk and adapting processes as the program matures.

Responsibilities

• 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

Skills

• 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
• 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
• 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
• 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

Benefits

• 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

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