Compliance Testing Officer

2 weeks ago

Mumbai Maharashtra, India Deutsche Bank Full time

**Compliance Testing Officer**:
**Job ID**:R0331338**Full/Part-Time**:Full-time**Regular/Temporary**:Regular**Listed**:2024-05-02**Location**:Mumbai**Position Overview**:
**In Scope of Position based Promotions (INTERNAL only)**

**Job Tit **le**:Assistant Vice President, Control Testing & Assurance - Testing Specialist**

**Corporate Title: Assistant Vice President (AVP)**

**Location: Mumbai**

**Role 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 Compliance Testing Reviewer for Singapore/SE Asia reporting to the South Asia Testing Head in Singapore and locally into the CT&A Desk Extension Head. The role sits as a part of a broader CT&A Desk Extension team.

For Singapore (SG), the key relevant businesses are:

- Investment Bank (IB) - Fixed Income and Currencies, Origination and Advisory, Deutsche Bank Research;
- Corporate Bank (CB) - Trade Finance & Lending, Cash Management, Security Services, Risk Management, Trust & Agency Services; and
- International Private Bank (IPB)

**What we offer you**

As part of our flexible scheme, here are just some of the benefits that you will enjoy.
- Best in class leave policy
- Gender neutral parental leaves
- 100% reimbursement under childcare assistance benefit (gender neutral)
- Flexible working arrangements
- 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 adequate and effective testing program for APAC that meet both BaFin and local regulatory requirements;
- Execution of the testing program for L1 controls including reviews at the non-hub offices; 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;
- Assisting in the development and maintenance of appropriate Management Information to inform Senior Management of pertinent matters, in line with global Deutsche Bank/Compliance/CT standards and
- Assisting in any ad-hoc projects and tasks as necessary.

**Your skills and experience**
- Minimum of 5 to 7 years’ experience of in a Compliance function primarily in compliance/assurance testing within a Financial Institution.
- Good understanding of Compliance Risks and the ways in which the risks will crystallize in practice to be able to test adequacy and effectiveness of the Compliance Risk Management framework implemented to address those risks.
- 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 are 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.
- Ability 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 -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.
- Strong collaborative team player receptive to exchange of ideas and constructive criticism.
- Multi-cultural awareness and sensitivity.
- Ability to work with different review leads, teams and managers within CT.
- Proficient in the use of Microsoft Outlook, Excel (i.e., organizing data

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