Senior Compliance Tester, Deutsche Bank
Investment bank and financial services company
Open for applications
Investment bank and financial services company
1001+ employees
Open for applications
1001+ employees
Company mission
To be the leading global provider of financial solutions for demanding clients, creating exceptional value for its shareholders and people.
Role
Who you are
- A university degree or other closely related professional qualification
- 10 years+ of experience gained from Compliance, AFC, Audit, Risk or other type of regulatory background within the financial services industry
- Experience on assessing and/or testing the design and operating effectiveness of Compliance control frameworks, including investigation activities. Good understanding of compliance and financial crime risks and internal controls
- Excellent knowledge of the financial markets rules and regulations in Europe
- Good knowledge of banking/financial markets business environment and products
- Excellent analytical skills with a strong attention to detail
- Excellent writing skills, including the ability to describe complex issues clearly and succinctly in ways that are easily understandable by others
- Strong communication and negotiation skills, both written and verbal, with an ability to communicate effectively across all three lines of defence. An ability to align multiple stakeholders towards a common goal
- Good skills with Excel, Word and Powerpoint
- Structured and organized in approach, demonstrating a high level of diligence and attention to detail plus having the ability to ensure high quality and consistency in the deliverables produced
- Results orientated and able to work independently and accurately in a fast-paced environment within tight deadlines while prioritizing workload with limited supervision
- Proactive – will seek to find the right solution and options to issues within and outside their specific remit, without being prompted and within an appropriate matrix management framework
- Assertive and engaging and able to quickly build and maintain effective working relationships
- Positive, collaborative, and flexible and able to operate successfully in a constantly changing environment
What the job involves
- Controls Testing & Assurance (CT&A) includes Compliance Testing (CT) and AFC Testing (AFCT) aspect. Compliance Testing is responsible for providing assurance on the design and operating effectiveness of the business’ control environment and/or adherence to the applicable regulations and the Bank’s policies
- The Compliance Testing Officer in the Netherlands develops and executes an annual testing plan, which consists of mandatory and risk-based tests, and that covers the Compliance risk types across all businesses in the Netherlands, France, Sweden, Austria, Czechia, Hungary, Belgium, Greece, Ukraine and Russia
- Where required, CT Netherlands may also support other CT locations with their testing
- Support the creation of the multi-year testing plan for all in-scope countries that covers the right risks and is in line with the global methodology
- Undertake testing activities according to the testing plan to satisfy the mandatory and risk-based requirements for testing, to the deadlines agreed and the standards defined in the global testing framework
- Communicate testing results using high quality reports
- Proactively engage with the business to agree issues and remediation actions from testing activities. Track issues and actions to completion
- Update the relevant tracking system timely and accurately with information on the reviews, tests, checks and their progress
- Support continuous enhancement of the testing programme by identifying improvements and implementing them, while ensuring the programme remains aligned to the global framework
- Produce high quality management information (MI) on the reviews, tests, checks and the findings identified to enable read-across (e.g. with other countries or divisions) and to allow continuous improvement of controls and processes
- Establish and maintain effective communication channels and working relationships with the relevant stakeholders in the business and other control functions (e.g. DCO, BCU, NFRM, Internal Audit, COO, Risk, etc.) to ensure a coordinated approach and effective resolution of issues
Our take
Despite its roots in the nineteenth century, Deutsche Bank has seen strategic transformation at countless stages to remain competitive. For example, it recently launched Vert, a new digital payments company for SMEs, in collaboration with Fiserv. As a result, the company successfully filled the gap in the market for a user-friendly, all in one solution which would enable merchants to accept payments and manage money.
The company continues to benefit from its scale and reputation. Despite ongoing criticisms, its strong European ties and a global network means Deutsche Bank is well placed to help clients navigate through geopolitical and macroeconomic shifts, something that can’t be said so confidently of its competitors. Today, it operates in circa 60 countries.
Moving forwards, the company is focused on aligning more closely to environmental, social and governance (ESG) criteria to facilitate over €500B in sustainable finance and investments between 2020 and 2025.
Freddie
Company Specialist at Welcome to the Jungle
Insights
Some candidates hear
back within 2 weeks
11% employee growth in 12 months
Company
Company benefits
- Home office flexible work time
- Annual leave & more
- Support & Counselling
- Health insurance
- Health Check & Eye Test
- Sick pay
- Rewards and everyday benefits
- Pensions
Company values
- Integrity
- Sustainable Performance
- Client Centricity
- Innovation
- Discipline
- Partnership
Company HQ
Westend-Süd, Frankfurt, Germany
Articles
Leadership
Christian Sewing
(CEO, not founder)Joined Deutsche Bank in 1989, serving in multiple positions including Chief Credit Officer. Became CEO in 2018.
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