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Controls Testing & Assurance (CT&A) - Americas Quality Assurance (QA) Lead - Vice President - Vice President

Deutsche Bank

Deutsche Bank

Quality Assurance
Jacksonville, FL, USA
Posted on Thursday, June 13, 2024

Job Description:

Job Title Controls Testing & Assurance (CT&A) – Americas Quality Assurance (QA) Lead – Vice President

Corporate Vice President

Location Jacksonville, FL

Overview

Deutsche Bank’s Anti-Financial Crime (AFC) Quality Assurance (QA) Team, an assurance function within Controls Testing & Assurance (CT&A), is responsible for assessing, detecting, investigating, and reporting on financial crime risks (Anti-Money Laundering (AML), Sanctions & Embargoes (S&E), Anti-Bribery and Corruption (ABC), and Anti-Fraud) to stakeholders. AFC QA performs this though conducting ongoing assessments of Deutsche Bank’s Know Your Client (KYC), Transaction Monitoring & Investigations (TMI), Business Line AFC, Transaction Filtering (TF) and Name List Screening (NLS) programs and identifies any exceptions to the relevant regulations and the Bank’s policies.

The primary focus for this role will be to lead and execute the Americas AFC QA program in accordance with CT&A’s Global QA Plan. The position will report to the Americas Head of CT&A.

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

  • Develop and maintain the Americas AFC QA program so that it aligns with the global QA assurance principles, methodology and strategy and ensure it is communicated to staff and stakeholders, while leading/managing the QA teams to ensure that all necessary assurance coverage of the Americas region across all of the Know Your Customer (KYC)/Transaction Monitoring Investigations (TMI)/ Transaction Filtering (TF)/ Name List Screening (NLS) workstreams

  • Promote proactive identification of risks, consistency, and quality in execution of the plan, and sharing of best practices, as well as ensure timely execution of the AFC QA Plan and ensure that all work is completed in accordance with all Global Assurance policy and procedures

  • Ensure the quality of work delivered by AFC QA teams and timely escalation of issues encountered during assurance activities to senior management (e.g., Global Head of AFC Testing and QA and Americas Regional Head of CT&A)

  • 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 giving honest feedback

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

  • 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 AFC QA team in Jacksonville in-line with the global QA plan and act as a key point of contact for all stakeholders including AFC, AFC Senior management, Chief Administrative Office (CAO) Management, other CAO Functions, Business Management, 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

  • Keep abreast of new laws, regulations, and policies in identifying potential areas of risk within QA assessments

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 AFC, Sanctions, Anti-Bribery & Corruption, Compliance Banking Regulations with expertise knowledge of anti-money laundering laws (USA PATRIOT Act), Regulations (Fed, Securities and Exchange Commission, Financial Industry Regulatory Authority) and their application to the supported products/business line

  • BSA/AML Quality Assurance or Testing experience, knowledge of financial products/services offered by Wealth Management and/or Corporate and Investment Banking business lines

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

  • 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 good team player with the ability to manage the team’s workload and their own: 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 Jacksonville, FL 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 Jacksonville is $96,000 to $140,850. 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 remuneration.

Deutsche Bank Values & Diversity

We believe talent is found in all cultures, countries, races, ethnicities, genders, sexual orientations, disabilities, beliefs, generations, backgrounds, and experiences. We pursue a working environment where everyone can be authentic and feel a sense of belonging. Click here to find out more about our diversity and inclusion efforts.

We are an Equal Opportunity Employer - Veterans/Disabled and other protected categories.

Learn more about your life at Deutsche Bank through the eyes of our current employees: https://careers.db.com/life

The California Consumer Privacy Act outlines how companies can use personal information. If you are interested in receiving a copy of Deutsche Bank’s California Privacy Notice, please email HR.Direct@DB.com.

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!

Click these links to view the following notices: EEO is the Law poster and supplement; Employee Rights and Responsibilities under the Family and Medical Leave Act; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision

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Our values define the working environment we strive to create – diverse, supportive and welcoming of different views. We embrace a culture reflecting a variety of perspectives, insights and backgrounds to drive innovation. We build talented and diverse teams to drive business results and encourage our people to develop to their full potential. Talk to us about flexible work arrangements and other initiatives we offer.

We promote good working relationships and encourage high standards of conduct and work performance. We welcome applications from talented people from all cultures, countries, races, genders, sexual orientations, disabilities, beliefs and generations and are committed to providing a working environment free from harassment, discrimination and retaliation.

Visit Inside Deutsche Bank to discover more about the culture of Deutsche Bank including Diversity, Equity & Inclusion, Leadership, Learning, Future of Work and more besides.


We are an Equal Opportunity Employer - Veterans/Disabled and other protected categories. Click these links to view the following notices: EEO is the Law poster and supplement; Employee Rights and Responsibilities under the Family and Medical Leave Act; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision.