Compliance Officer - Monitoring, Controls and Testing

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Start date:
Resource Solutions - Deutsche Bank
Published at:
flag_no United Kingdom
Project ID:

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Deutsche Bank is a client-centric global universal bank. One that is leading change and innovation in the industry - championing integrity, sustainable performance and innovation with our clients, and redefining our culture and relationships with each other.


Our Legal, Compliance and Government & Regulatory Affairs department manages the legal services, reviews trade reports, and educates to avoid unintentional rule breaches or conflicts of interest, and advices on regulatory and political challenges.

We protect the integrity and reputation of the bank by managing legal risk to make transactions viable and safe. We advise on ethical conduct and identify regulatory solutions. We promote and foster lawful and ethical business through a true partnership with the business.

A Compliance Officer is required to join the Monitoring, Controls and Testing (MCT) team to conduct compliance monitoring and controls testing reviews across Deutsche Bank's business divisions in the United Kingdom. As the Compliance Officer you will have demonstrable experience in compliance monitoring and a thorough understanding of regulations and risks affecting the bank. The key objective of each review is to assess the adequacy and effectiveness of internal controls and to address compliance with local regulatory requirements.

Key Responsibilities

  • Identify the scope and testing approach for reviews in line with the MCT methodology
  • Conduct fieldwork in line with the agreed test programme and adequately document tests and findings
  • Develop recommendations for corrective action based on review findings
  • Write reports that present review results, articulate the rationale for findings, the risks posed and actions required to address those risks
  • Work with business line Compliance Officers and management to agree on appropriate action plans
  • Track agreed actions through to conclusion and report on progress upon completion of reviews
  • Develop good working relationships with key stakeholders including business line Compliance Officers, business divisions and other infrastructure and control functions at all levels including senior stakeholders
  • Develop and maintain a broad knowledge of the bank's business and regulatory framework in which it operates

You will have:

  • A thorough understanding of regulations and risks affecting the bank
  • Recent experience of delivering compliance monitoring and internal audit reviews in a complex corporate environment
  • The ability to understand and interpret various laws, regulations, and policies
  • Strong investigative and analytical skills
  • Strong verbal, written and presentation skills
  • Proven senior management engagement experience, including the ability to influence and drive change
  • The ability to work independently with minimum direction

You will be:

  • A conduct-related qualification or significant conduct-related work experience
  • Familiar with financial products and instruments
  • Action oriented with a strong focus on completing tasks with accuracy
  • Delivery focused; demonstrating an ability to work under pressure and within tight deadlines

Deutsche Bank is an equal opportunity employer who seeks to recruit and appoint the best available person for a job regardless of marital/civil partnership status, sex (including pregnancy), age, religion, belief, race, nationality and ethnic or national origin, colour, sexual orientation or disability.

Please let us know if you require any adjustments to enable you to apply or attend an interview. If you would like to discuss your requirements, or have any concerns about the application process, please contact your recruiter.

Please note that for the duration of this assignment you will be working as an external resource engaged by Resource Solutions based on site at Deutsche Bank.