Control Testing

3 weeks ago

bangalore, India F335 Deutsche India Private Limited, Bangalore Branch Full time

Description

Deutsche Bank AG (the “Bank”) has established the Controls Testing & Assurance department (“CT&A”) as an independent function, reporting to the Chief Administrative Officer (“CAO”). The Compliance Testing (“CT”) team within CT&A is responsible for providing assurance testing on the design and operating effectiveness of the businesses’ control environment and adherence to applicable regulations and the Bank’s policies. CT develops and executes an annual, risk-based testing plan that covers the risk categories owned by Compliance, across all businesses in the region.

The role involves a senior Compliance Testing Specialist for the Middle East & Africa (MEA) reporting to the Head of CT&A MEA in Dubai, United Arab Emirates and locally into the CT&A Desk Extension head. The role sits as a part of a broader CT&A Desk Extension team split between Mumbai and Bangalore.

The scope of countries that are covered out of the UAE include: the UAE, Saudi Arabia, Qatar, South Africa, Israel, Turkey and DB’s Representative Offices in Egypt, Nigeria and Bahrain.

For the Middle East & Africa, the key relevant businesses are:

Investment Bank (IB) – Fixed Income and Currencies, Origination and Advisory Corporate Bank (CB) – Trade Finance & Lending, Cash Management, Security Services, Trust & Agency Services International Private Bank (IPB) (Wealth Management)

What we’ll offer you

As part of our flexible scheme, here are just some of the benefits that you’ll enjoy

Best in class leave policy Gender neutral parental leaves 100% reimbursement under childcare assistance benefit (gender neutral) Sponsorship for Industry relevant certifications and education Employee Assistance Program for you and your family members Comprehensive Hospitalization Insurance for you and your dependents Accident and Term life Insurance Complementary Health screening for 35 yrs. and above

Your Key Responsibilities

Support development of a plan for the location / region of coverage based on the Controls Testing & Assurance planning methodology. This will also involve collaboration with various Compliance stakeholders to ensure the implementation of an adequate and effective testing program for MEA that meets both BaFin and local regulatory requirements; Leading the execution of reviews in the United Arab Emirates including reviews for other MEA countries; the opportunity for travel to other jurisdictions may be available; Ensuring that all issues raised in CT have adequate remediation plans that are tracked and escalated promptly and appropriately; Developing relationships with the relevant Business Management offices, Divisional Control teams and Infrastructure functions; Sharing best practice and learnings with CT colleagues locally/regionally/globally; Managing the development and maintenance of appropriate Management Information to inform Senior Management of pertinent matters, in line with global Deutsche Bank/Compliance/CT standards; Engaging regularly with relevant businesses, Business Line Compliance and other colleagues to remain abreast of developments as it pertains to CT; assessing the impact on the testing program and implementing changes where necessary; and Leading and participating in any ad-hoc projects and tasks as necessary.

Your Skills & Experience

Minimum of 10 years’ experience in a Compliance function primarily in compliance/assurance testing within a Financial Institution or Investment Bank, preferably with 2-3 years people management experience. Good understanding and application of compliance risks and the ways in which the risks will crystallize in practice, so as to be able to test adequacy and effectiveness of the Compliance Risk Management framework implemented to address those risks. Proven investigative and analytical mindset & skills – enquiry, analysis, interviewing, testing; well versed with technology and applications that can be utilised for assurance testing. Ability to work within a matrix management structure, effectively working closely with multiple managers. Good drafting skills, including the ability to record and describe complex issues clearly and succinctly, in a way that is easily understandable by any recipient of the relevant reports. Strong attention to detail and ability to identify changes and impact of any changes to documents, systems and processes in the context of compliance risks, remediation required, etc. The drive, discipline and enthusiasm to work independently under pressure. Able to quickly understand complex issues and set a course of action (that others are prepared to follow) to meet specific goals. Strong verbal, written and presentation skills. 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. Multi-cultural awareness and sensitivity. Proficient in the use of Microsoft Outlook, Excel (i.e. organizing data sets), Word, and PowerPoint.

How we’ll support you

Training and development to help you excel in your career Coaching and support from experts in your team A culture of continuous learning to aid progression. A range of flexible benefits that you can tailor to suit your needs.

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