The firm’s regulatory reporting infrastructure is fragmented and ineffective in ensuring high quality, accurate reports. Regulatory reporting information is compiled from a variety of applications and data sources, these data sources cannot be reconciled to report control totals. Initiated in 2012 the team utilises a combination of e-mail and SharePoint.
Corporate Banking & Securities (CB&S) is looking to build out its ‘business control function’ by moving to a more robust infrastructure model. Initiated in 2012 the team utilizes a combination of e-mail and SharePoint. CB&S is seeking to migrate away from the existing e-mail / SharePoint process environment to a more robust infrastructure model, using the Global Supervisory System (‘GSS’), a workflow / document repository tool.
To ensure that Front Office staff provide evidence that they have executed business controls, as set out in internal policies and procedures.
In summary, the team ensure that business (Level 1) controls are executed against a pre-determined schedule and supporting documentary evidence is both timely and complete, as well as follow up on any exceptions;
provide monthly Management Information System (MIS) to product line and regional management teams;
interface with the Global Supervision team to shape tools, methodologies and processes;
interface with Legal/Compliance on new regulations and/or rule interpretations that may necessitate new control implementation,
and act as a point of contact for internal / external audits and regulatory assessments.
Managed the CEO Certification process for the Securities Divisions:
created infrastructure to support 250+ supervisors,
rolled out 100+ supervisory checklists,
Ensure timeliness of Front Office control evidence submission.
Ensure completeness of control evidence submitted by the Front Office.
Follow up with Front Office staff where control evidence is late / incomplete.
Collate control evidence as required for ad-hoc internal and external audits.
Test new / enhancement to both infrastructure and processes to ensure effective control framework.
Corporate Banking & Securities
Corporate Banking & Securities consists of Deutsche Bank's Markets and Corporate Finance divisions and serves the world's leading Corporates, Governments and Institutions.
Corporate Finance is responsible for mergers and acquisitions, including advisory, debt and equity issuance, and capital markets coverage of large and medium-sized corporations. Regional and industry-focused teams ensure the delivery of the entire range of financial products and services.
Markets combines the sales, trading and structuring of a wide range of financial market products, including bonds, equities and equity-linked products, exchange-traded and over-the-counter derivatives
Corporate Banking & Securities (CB&S) is looking to build out its ‘business control function’ by moving to a more robust infrastructure model. Initiated in 2012 the team utilizes a combination of e-mail and SharePoint. CB&S is seeking to migrate away from the existing e-mail / SharePoint process environment to a more robust infrastructure model, using the Global Supervisory System (‘GSS’), a workflow / document repository tool.
To ensure that Front Office staff provide evidence that they have executed business controls, as set out in internal policies and procedures.
In summary, the team ensure that business (Level 1) controls are executed against a pre-determined schedule and supporting documentary evidence is both timely and complete, as well as follow up on any exceptions;
provide monthly Management Information System (MIS) to product line and regional management teams;
interface with the Global Supervision team to shape tools, methodologies and processes;
interface with Legal/Compliance on new regulations and/or rule interpretations that may necessitate new control implementation,
and act as a point of contact for internal / external audits and regulatory assessments.
Managed the CEO Certification process for the Securities Divisions:
created infrastructure to support 250+ supervisors,
rolled out 100+ supervisory checklists,
Ensure timeliness of Front Office control evidence submission.
Ensure completeness of control evidence submitted by the Front Office.
Follow up with Front Office staff where control evidence is late / incomplete.
Collate control evidence as required for ad-hoc internal and external audits.
Test new / enhancement to both infrastructure and processes to ensure effective control framework.
Corporate Banking & Securities
Corporate Banking & Securities consists of Deutsche Bank's Markets and Corporate Finance divisions and serves the world's leading Corporates, Governments and Institutions.
Corporate Finance is responsible for mergers and acquisitions, including advisory, debt and equity issuance, and capital markets coverage of large and medium-sized corporations. Regional and industry-focused teams ensure the delivery of the entire range of financial products and services.
Markets combines the sales, trading and structuring of a wide range of financial market products, including bonds, equities and equity-linked products, exchange-traded and over-the-counter derivatives
