Control Testing & Assurance – Compliance Testing – VP

Full Time

International Banking Client

Office Status: Hybrid

Salary: $120,000 – $200,000


  • Supervise Compliance Testing reviews of the Investment Bank business (i.e., Institutional Sales and Trading businesses)
  • Conduct compliance reviews under the direction of the Americas Head of CT&A to assess and review compliance with legal, regulatory, and internal firm policy requirements applicable to products and services in the Americas
  • Develop testing modules and conduct testing across all Deutsche Bank Americas business activities to evaluate adherence to regulatory requirements and compliance risks
  • Maintain solid working relationships with Business Line Compliance, Front Office, Operations, Group Audit, and other control groups throughout the region
  • Participate in developing a review work plan based on the results of the annual compliance risk assessment, in consultation with the Americas Head of CT&A, Business Line Compliance and Business management, ensure the review work plan addresses: 1) compliance risks, key controls, and regulatory priorities 2) the reviews are designed to meet applicable regulatory guidance
  • Identify Compliance risks inherent in a business or process and assess whether a control framework is in place to manage these risks or whether any existing control framework adequately manages the risks, escalate potential issues and exception items noted during the review process to senior management for discussion and further investigation if deemed necessary
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