Regulatory Audit Engagement Officer Regulatory Audit Engagement Officer …

Deutsche Bank
in London, England, United Kingdom
Contract, Full time
Last application, 21 Jan 20
Deutsche Bank
in London, England, United Kingdom
Contract, Full time
Last application, 21 Jan 20
Working in a team dedicated to supporting ongoing regulatory engagements and reviews.

As a leading global bank with roots in Germany, we're driving change and innovation in the industry - championing integrity, sustainable performance and innovation with our clients, and redefining our culture and relationships with each other. With operations in over 70 countries, we encourage our people to think for themselves and reward integrity. Our large but focused footprint gives us a strong position in Europe plus a significant presence in the Americas and Asia Pacific. We offer clients commercial and investment banking, retail banking and transaction banking as well as ground-breaking asset and wealth management products and services. So if you're talented, collaborative and curious about building an exciting career in finance, you're exactly the type of person who might succeed in our organisation.


Our (Anti-Financial Crime) AFC team is responsible for protecting Deutsche Bank from financial and reputational losses incurred by financial crimes by assessing, controlling and mitigating risks. Risk types related to Anti-Financial Crime are consolidated in a comprehensive and effective risk management framework that covers Anti-Money-Laundering, Sanctions & Embargoes, Anti-Bribery & Corruption as well as Anti-Fraud & Investigations.

The Regulatory Governance & Enforcement (RG&E) team also leads AFC's involvement in litigation and other contentious matters, as well as complex legal issues involving the department.

As an Anti-Money-Laundering Regulatory Change Advisor you'll work closely with Legal and Compliance colleagues. RG&E's team mandate is global. Its agenda is set by and agreed between the Global Head of RG&E and, for each region, the Regional Head of AFC. Members of the RG&E team will deal both with matters that are region-specific; and with global projects and matters, involving multiple locations.

Key Responsibilities:

  • Supporting AFC Senior Management and the Head of Anti Financial Crime Regulatory Relations, AFC UKI in defining and executing an efficient engagement model with regulators and/or appointed Third Parties (e.g. skilled persons, monitors, external auditors). Creating and overseeing the completion of gap analysis in order to ensure effective implementation of relevant changes
  • Managing the day-to-day interaction between Deutsche Bank and regulators and/or appointed Third Parties
  • Providing ongoing guidance to a team of contractors supporting the department's activities, and supporting the Head of Anti Financial Crime Regulatory Relations, AFC UKI in briefing and developing the subject matter knowledge of the team, establishing and documenting processes, ensuring compliance with relevant firm policies and upholding quality standards
  • Articulating feedback from regulators and/or appointed Third Parties to senior internal stakeholders (within Senior Management, AFC, business divisions and relevant governance fora) to ensure that management is adequately kept informed about material developments relating to reviews
  • Facilitating stakeholders' understanding of existing regulatory and/or appointed Third Parties' views relating to the Bank's AFC set-up

Skills & Qualifications:

  • Previous experience in managing engagements with regulatory authorities or appointed Third Parties (e.g. skilled persons, monitors, external auditors) - experience in dealing with UK regulators or UK Third Parties would be an advantage
  • A significant knowledge and awareness of Anti-Financial Crime themes and associated terminology.
  • Proven experience in dealing with demanding senior stakeholders or managing challenging situations
  • Proven communication skills and the ability to engage effectively across all levels of a complex organization including senior business and infrastructure leadership
  • Ability to summarise complex written and verbal messages and to relay these effectively in briefings, committees, workshops
  • Ability to take accurate minutes in meetings, video conferences and calls involving senior internal and external participants
  • Technical writing skills in a regulatory or legal environment
  • Experience in facilitating / leading workshops and working groups
  • Direct experience, or sound understanding of, large project management and associated governance

Our values define the working environment we strive to create - diverse, supportive and welcoming of different views. We embrace a culture reflecting a variety of perspectives, insights and backgrounds to drive innovation. We build talented and diverse teams to drive business results and encourage our people to develop to their full potential. Talk to us about flexible work arrangements and other initiatives we offer.

We promote good working relationships and encourage high standards of conduct and work performance. We welcome applications from talented people from all cultures, countries, races, genders, sexual orientations, disabilities, beliefs and generations and are committed to providing a working environment free from harassment, discrimination and retaliation.

Please visit to find out more about diversity and inclusion at Deutsche Bank