Compliance Officer

6 hours ago

Jacksonville, Florida, United States Robert Walters Full time
Job Title: Compliance Officer

Robert Walters is seeking a highly skilled Compliance Officer to join our team in Jacksonville, Florida.

About the Role

The Compliance Officer will be responsible for conducting reviews to evaluate the firm's compliance with applicable laws and regulations and to help ensure that control gaps are adequately escalated and mitigated through remedial actions.

Key Responsibilities

  • Conduct and/or support compliance reviews under the direction of the Americas Head of Compliance Testing in order to assess and review compliance with legal, regulatory and internal firm policy requirements applicable to Deutsche Bank products and services in the Americas
  • Assist in the developing of testing modules and conduct testing across all Deutsche Bank Americas business activities to evaluate adherence to regulatory requirements and compliance risks
  • Maintain solid working relationships with Business Line Compliance, Front Office, Operations, Group Audit, and other control groups throughout the region
  • Identify Compliance risks inherent in a business or process and assess whether a control framework is in place to manage these risks or whether any existing control framework adequately manages the risks
  • Prepare and distribute reports to senior management detailing review findings and recommendations. Periodically report on significant activities conducted and planned for the upcoming period
  • Some travel may be required

Requirements

  • Strong knowledge of regulations governing financial institutions including the rules and regulations of the Federal Reserve Bank (FRB), Office of the Comptroller of the Currency (OCC), Federal Deposit Insurance Corporation (FDIC), Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), NFA, and Commodity Futures Trading Commission (CFTC)
  • Knowledge of Corporate Banking and/or Private Bank related products and services
  • Relevant experience with a financial services firm within Legal, Compliance, Operations or Audit and/or regulatory organization in a role that relates to financial services
  • Ability to understand and interpret various laws, regulations, and policies
  • Excellent interpersonal and communication skills with the ability to interact effectively with internal and external stakeholders, including regulators and senior management

What We Offer

Robert Walters offers a diverse and inclusive environment that embraces change, innovation, and collaboration. We provide a hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer days. We also offer competitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefits.

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