Regulatory Client & Classifications Control Analyst - Associate

Job Description:

Job Title Regulatory Client & Classifications Control Analyst

Corporate Title Associate

Location Jacksonville, FL

Overview

As part of the Regulatory Cross Product (RCP) Regulatory Client & Classification team, you will be responsible for understanding and monitoring various US Regulations as well as tactical and strategic analysis and remediation of Regulatory accounts impacting clients eligible for specific US Regulations. You’ll support and contribute to daily monitoring and control reporting for various US Regulations along with being part of a team that works in close partnership with various stakeholders such as Compliance, Legal and the Client Lifecycle Management (CLM) on-boarding teams.

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

• Fully understand and be able to provide knowledge ownership of US regulations, such as, Commodity Futures Trading Commission (CFTC) Dodd Frank, SEC Swap Based Securities Dodd Frank, Volcker, Reg W, FEI, CFTC Dodd Frank Special Entities, CFTC Dodd Frank Schedules 4-6, EUE, FINRA 2111, FINRA 4210, Reg D/QIBs, Foreign Bank Certificates, 15a6 and Reg O Business Management etc

• Work with Compliance and Legal on exception and/or escalations cases and see them through to completion. Be able to identify and raise up risk items to management

• Review and QA sample of Run-the-Bank (RTB) cases to ensure regulations are being implemented correctly

• Management of daily control reports which includes working with offshore teams to investigate and analyse the exceptions, identify remediation steps, and follow up with internal or external stakeholders until exceptions are resolved

• Responsible for creating and/or updating Key Operating Procedures and incorporating new regulatory changes as needed

• Work with Client Lifecycle Management (CLM) team members, the various business lines, compliance, group audit, sales teams and clients when exceptions or questions are identified to see through resolution

Skills You’ll Need

• Motivated and self-starter is a must

• Ability to think not only in black and white but also be able to think analytically in grey areas by utilizing resources at hand (i.e. Key Operating Procedures, reading through regulations etc.)

• Ability to work in a non-structured environment, knowing what task is the next priority without being told

• Knowledge/exposure of US regulations within an operational or control department within a banking environment, or within a similar operational regulatory function

• Knowledge and/or experience in a financial institution. Understanding of the workings of an investment bank and the lifecycle of a trade is a plus, Knowledge of Client Onboarding and Regulators is a plus

Skills That Will Help You Excel

• Excellent written and verbal communication skills and a willingness to ask questions to seek clarity

• Attention to detail and confidence to speak up when something does not seem correct

• Competent business user of MS products and Outlook. Internet liberate to enable online searches. Must know MS Excel. Knowledge of Markit ISDA Amend is a plus

• Ability to identify issues and assess root causes and provide solutions with a proven level of analytical, problem solving and resource planning skills

• Knowledge of Reference Data Systems and Regulations along with product and end-to-end system knowledge is a plus, Knowledge of MS suite of products, including the ability to use basic Excel functions such as pivot tables, VLOOKUPs, etc

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, FL is $48,000.00 to $68,800.00. Actual salaries may be based on a number of factors inclu