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Sr. Analyst - Compliance Program Oversight Job Details
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| Sr. Analyst - Compliance Program Oversight (Ref: 24546) | |
| Sector, Sub Sector: | Other |
| Compliance Type: | Regulatory/Compliance |
| Expertise: | - |
| Company: | Deutsche Bank |
| Location: | Jacksonville Americas, United States |
| Employment Type: | Permanent |
| Job Description: |
The Compliance Program Oversight and Service Provider Oversight Groups are responsible for providing: a) on-going support to the DeAM organization; b) monitoring sub-advisor and service provider activity to ensure compliance with the federal securities laws; c) assisting with Compliance Risk Assessments and Compliance Policy & Procedure testing to ensure compliance with federal securities laws; and d) assisting with various other related tasks. Responsibilities: • Interface with internal and external contacts for resolution of process discrepancies in a timely manner • Monitor and escalate aging issues and unresolved disputes to management • Provide written commentary on outstanding open issues • Identify and escalate open issues that represent risk • Build a strong relationship with the client, understanding their needs and business operations • Understand business and regulatory requirements and ensure functions are being performed in those requirements • Participate in Departmental projects and initiatives Compliance Program Oversight Entry of compliance risk assessments into dbSAT tool Entry and maintenance of compliance program issues/recommendations into CARS (issue tracking tool) Conduct testing of DeAM Policies and Procedures and targeted risk areas to ensure processes are sufficiently documented, being followed consistently and evidenced Develop scope of testing including which business groups to cover, period of review, list of interview questions, sample documentation to request Sample test various types of records and documentation to ensure compliance with policies/procedures Identify potential recommendations or issues as a result of testing conducted Assist with preparation of annual CCO Program assessment report Service Provider / Sub-advisor Oversight Client / shareholder complaint collection from various sources and reporting Review of sub-advisor questionnaires, escalation, tracking and reporting of issues, transactions Collection of quarterly certifications from service providers, escalation, tracking and reporting of issues Collection of SAS 70 and other management or audit reports, escalation, tracking and reporting of issues Review and tracking of As-of transactions reports received from the transfer agent Review of service provider and sub-advisor due diligence questionnaires, escalation, tracking and reporting of issues Collection of annual service provider vendor scorecards, analysis and reporting of results Preparation of reports/memos for US sub-advisor oversight committee and Global sub-advisor oversight committee and other various committees and practice groups Review, tracking and escalation of weekly and monthly blue sky and fund sales reports Coordination with product management, legal and NRS to identify and report fund changes Coordinate compliance smartsourcing approvals General Collection and reporting of metrics for quarterly compliance reports and other reports upon request Collection of responses to due diligence questionnaires and RFPs Preparation of compliance audit issues Perform additional Board Reporting, Surveillance or AMT tasks as assigned. Coordinate compliance New Product Approvals (NPA) Perform additional duties as assigned Loading of required records to electronic recordkeeping system Position Requirements: • 2-3 relative compliance experience, including direct service provider oversight experience • Bachelor’s Degree preferred in Business, Finance, Accounting or Economics • Strong Problem Solving and/or Analytical Skills • Proficiency in financial applications • Strong relationship abilities with internal departments • Excellent written and oral communication skills • Strong PC skills to include experience with MS Word, Excel and PowerPoint • Thoroughness and attention to detail • Ability to multi-task and work in a fast-paced environment • Ability to work in a team environment in order to achieve group targets • Excellent organizational skills • Ability to work well independently Deutsche Bank is an Equal Opportunity/Affirmative Action (M/F/D/V) employer. |
| Job Ref No: | 24546 |
