Americas Regional Head of Controls Testing & Assurance (CT&A) / Americas Head of Compliance Testing - Director

Job Title Americas Regional Head of Controls Testing & Assurance (CT&A) / Americas Head of Compliance Testing

Corporate Title Director

Location New York, NY

Overview

Deutsche Bank's Controls Testing & Assurance (CT&A) Group, as part of Compliance & Anti-Financial Crime (AFC), performs independent risk based testing of first and second line key controls and risk management framework of Compliance and Finance Crime risk types. In addition, CT&A also performs risk-focused sample-based Quality Assurance Monitoring on certain key processes in first and second line that manage Financial Crime risks. CT&A provides feedback on AFC and Compliance owned controls and frameworks as well as supports the Bank in maintaining and enhancing its control frameworks for those key risks.

The Americas Head of Compliance Testing will be directly responsible and accountable for the Americas Compliance testing plans and as the Americas Regional Head of CT&A will drive the execution of regional CT&A initiatives. The Americas Head of Compliance Testing will oversee delivery of critical regional CT&A regulatory remediation programs related to Compliance Testing and provide related updates to Regulators and internal senior stakeholders on a periodic basis; will report to the Global Head of CT&A and locally to the Americas Head of Compliance.

What We Offer You

• 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 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

What You'll Do

• Drive the execution of the Americas Compliance testing programs to align with the global vision, methodology and strategy and ensure it is communicated to staff and stakeholders

• Manage the Americas Compliance Testing teams with the annual Compliance testing planning processes to ensure that all necessary testing coverage is identified and documented, in order to assess and review compliance with legal, regulatory, and internal firm policy requirements

• Ensure the quality of work delivered by Compliance Testing teams and timely escalation of issues encountered to senior management and promote proactive identification of risks, consistency and quality in execution of the plan, and sharing of best practices with global CT&A colleagues

• Oversee the delivery of critical regulatory CT&A remediation programs related to Compliance and provide related progress updates to Regulators and senior internal stakeholders

• Advise team members with respect to applicable regulatory requirements to ensure testing is adequately designed to identify potential control gaps and non-compliance with laws and regulations applicable to banking products and services

• Define a people strategy to develop, recognize, progress, and retain key staff, in addition to being a role model for the CT&A teams in the Americas, delegating appropriately, communicating effectively, and providing constructive feedback. Support the management of production of regular Management Information for the Americas Region, set goals for team and ensure tasks are properly delegated, as well as offer feedback to drive improvement

How You'll Lead

• Lead and manage the operation of the Americas Compliance plans and support execution of the program globally

• As a member of the senior CT&A Leadership team, act as a key point of contact for all stakeholders including Compliance, Senior management and business stakeholders, Group Audit and Regulators

• Develop and prepare updates and presentations to senior management and other stakeholders including the various Deutsche Bank governance forums and legal entity Boards

Skills You'll Need

• Minimum of a Bachelor's degree or equivalent work experience (JD, MBA, or Master's Degree and CAMS certification would be a plus)

• Extensive experience in Compliance Testing with expertise knowledge of Banking Regulations (Federal Reserve Bank, Securities and Exchange Commission, Financial Industry Regulatory Authority) and their application to the supported products/business lines; in addition expertise knowledge of Anti Money Laundering Laws is of advantage

• Strong risk and control knowledge and understanding of how control frameworks need to be designed and operate in order to manage the risks

• Lead teams of professionals by goal setting and driving completion of assigned tasks, and interact with Infrastructure and other appropriate groups in a fast-paced environment

• Experience in building and managing relationships with Senior Stakeholders and an ability to influence Senior Stakeholders and colleagues

Skills That Will Help You Excel

• Effective decision-making skills and strong problem-solving skills while being a team player with the ability to manage the team's workload to execute on testing plan and deliverables

• Strong interpersonal skills with excellent writing and communication skills in addition to excellent analytical, judgment, and research skills

• Strong attention to detail and the ability to multitask with a positive, collaborative, and flexible approach required to operate in a constantly changing environment

• Structured and organized approach, demonstrating a high level of diligence and attention to detail - ability to ensure high quality and consistency in the deliverables produced

• Track record of delivering large, complex change projects / programs in an Investment Banking environment and strong working knowledge of Microsoft Office (Excel, Word, and PowerPoint)

Expectations

It is the Bank's expectation that employees hired into this role will work in the New York office in accordance with the Bank's hybrid working model.

Deutsche Bank provides reasonable accommodations to candidates and employees with a substantiated need based on disability and/or religion.

The salary range for this position in New York, NY $170,000-$280,500. Actual salaries may be based on a number of factors including, but not limited to, a candidate's skill set, experience, education, work location and other qualifications. Posted salary ranges do not include incentive compensation or any other type of renumeration.

Deutsche Bank Benefits

At Deutsche Bank, we recognize that our benefit programs have a profound impact on our colleagues. That's why we are focused on providing benefits and perks that enable our colleagues to live authentically and be their whole selves, at every stage of life. We provide access to physical, emotional, and financial wellness benefits that allow our colleagues to stay financially secure and strike balance between work and home. Click here to learn more!

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