Senior Auditor, Payments Network
Capital One
Business Management Senior Analyst
Deutsche Bank
full-time
Posted on:
Origin: • 🇺🇸 United States • New York
Visit company websiteSalary
💰 $80,000 - $120,000 per year
Job Level
Senior
About the role
- Support the development and implementation of procedures and controls to ensure compliance with regulations, internal DWS Policies, and audit findings.
- Coordinate with the businesses to ensure that procedures documents are updated annually and accurately represent business operations and key controls.
- Conduct ongoing monitoring of the operating effectiveness of key controls through quarterly control testing and prepare management reporting of results.
- Support the completion of business requirements with a regulatory focus, including preparation of US regulatory filings (e.g., annual ADV updates, including Part 2B updates and distribution), Americas investment management delegation reporting, business continuity testing, error and breach root cause analysis (including resolution and control enhancement), and vendor governance oversight).
- Support the maintenance of the DWS Americas Investment Division control inventory and process inventory.
- Support the provision of responses for client requests / questionnaires related to regulatory and control matters.
Requirements
- 2+ years of professional or equivalent experience ideally in Compliance, Regulatory, and/or Risk & Control Evaluation
- An understanding of regulations affecting Registered Investment Advisers (e.g., Investment Advisers Act)
- Experience in Compliance Advisory, Compliance Control Testing, Operational Risk Management, Internal Audit, Public Accounting - Audit, Regulatory Change / Implementation, Risk & Control Evaluation
- Highly motivated
- Excellent communication skills – written and verbal
- Knowledge of Excel, PowerPoint, and flowcharting tools
