Job Description:
Employer: DWS Group
Title: AML / KYC Internal Auditor
Location: New York, New York
Job Code: #LI-SL1 #LI-02
About DWS:
Today, markets face a whole new set of pressures - but also a whole lot of opportunity too. Opportunity to innovate differently. Opportunity to invest responsibly. And opportunity to make change.
Join us at DWS, and you can be part of an industry-leading firm with a global presence. You can lead ambitious opportunities and shape the future of investing. You can support our clients, local communities, and the environment.
We're looking for creative thinkers and innovators to join us as the world continues to transform. As whole markets change, one thing remains clear; our people always work together to capture the opportunities of tomorrow. That's why we are 'Investors for a new now'.
As investors on behalf of our clients, it is our role to find investment solutions. Ensuring the best possible foundation for our clients' financial future. And in return, we'll give you the support and platform to develop new skills, make an impact and work alongside some of the industry's greatest thought leaders. This is your chance to achieve your goals and lead an extraordinary career.
This is your chance to invest in your future. Read more about DWS and who we are here.
Team / Division Overview
The Auditing team work independently on audits of a specific business/functional area/region, and evaluate the adequacy and effectiveness of internal controls relating to risks within those business areas. They proactively develop and maintain professional consultative working relationships within their own function and with stakeholders inside and outside the bank of respective support areas. Using a range of approaches, they collect relevant information to assess key risks, resolve major issues or carry out tasks.
The Internal Auditor works with other teams from across the function and outside the function. Using these contacts, while working under limited supervision, they are to provide 'front-to-back' audit coverage and actively contribute to the delivery of team plans in support of the functional and business strategies. Lastly, they may occasionally participate in ad-hoc projects and special investigations.
Role Details
As an Internal Auditor you will:
• Evaluate the effectiveness of internal controls relating to Anti-Financial Crime (AFC) and Vendor Risk Management (VRM) in accordance with Group Audit methodology and the established risk assessment framework
• Conduct DWS specific assessments and continuous monitoring and complete all work assignments on a timely basis - including planned audits, ad hoc projects, and special investigations
• Undertake DWS audit assignments, plan audits (e.g. documenting activity flows of the processes to be reviewed, identify risks and the key actual controls in place to mitigate the identified risks), attend meetings with internal stakeholders as and when required, draft audit reports for review by DWS audit management, facilitate tracking of audit findings and validate closure of audit findings
• Develop and maintain broad regulatory knowledge & experience. Stay abreast of business/industry changes and their effect on the team's audit plan, audit methodology and risk assessments
• Pro-actively develop and maintain professional working relationships with colleagues, the Business and respective support areas. Work in an integrated manner with fellow team members both locally and globally as well as contribute to departmental projects and initiatives We are looking for:
• Master's degree
• Relevant certification or industry accreditation (e.g., CPA, CFA, CIA, NASD Series)
• Extensive experience in an internal Audit role covering AFC and/or VRM incl. respective regulatory topics or extensive first/second line experience, Third Party Risk Management experience an advantage
• A firm commitment to maintaining the highest professional and ethical standards - and the ability to stand your ground when challenged - are key to succeeding in this role
• Solid strategic and analytical thinking, with dedication to continuous development and strong verbal/written communication and presentation skills
• The ability to multi-task assignments, prioritize workloads with minimal supervision and work well within local and distributed teams
• Familiarity with large, international bank organizations and associated compliance and regulatory environment What we'll offer you:
At DWS we're serious about diversity, equity and creating an inclusive culture where colleagues can be themselves sand it's important to us that you enjoy coming to work - feeling healthy, happy and rewarded. At DWS, you'll have access to a range of benefits which you can choose from to create a personalized plan unique to your lifestyle. Whether you're interested in healthcare, company perks, or are thinking about your retirement plan, there's something for everyone.
The salary range for this position in New York City is $94,000-$138,000. Actual salaries may be based on a number of factors including, but not limited to, a candidate's skill set, experience, education, work location and other qualifications. Posted salary ranges do not include incentive compensation or any other type of renumeration.
Some of our core benefits:
• Competitive Salary and Matched 401K Savings Plan
• Generous Paid Time Away plus Bank Holidays
• Physical and Mental Health Well-Being benefits including (but not limited to) Health & Life Insurance Plans and the support of trained Mental Health First Aiders
• Family friendly benefits including generous parental leave packages (supporting all variations of family set-ups), to healthcare plans and travel insurance
• The opportunity to support our CSR strategy which is focused on combatting climate change & achieving greater social justice. You can make donations to our partnered organizations or take part in corporate volunteering opportunities in your local communities by providing on hand support. DWS' Hybrid Working model is designed to find the right balance between in-person collaboration and engagement in the office, which is core to our working culture, and working from home. Each business group varies on the split between time spent in the office and at home, but this will be discussed and made clear as part of your application and interview process. We will continue to review and evolve our working environments and methods to ensure that we are working in the best way possible for our people.
If you require any adjustments or changes to be made to the interview process for any reason including, or related to a disability or long-term health condition, then please contact your recruiter and let them know what assistance you may need. Examples of adjustments include providing a change to the format of the interview, or providing assistance when at the DWS office. This will not affect your application and your recruitment team will discuss options with you.
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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.
Visit Inside Deutsche Bank to discover more about the culture of Deutsche Bank including Diversity, Equity & Inclusion, Leadership, Learning, Future of Work and more besides.
We are an Equal Opportunity Employer - Veterans/Disabled and other protected categories. Click these links to view the following notices: EEO is the Law poster and supplement ; Employee Rights and Responsibilities under the Family and Medical Leave Act ; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision .
