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Surveillance Trade Surveillance Compliance Officer - Associate

Surveillance Trade Surveillance Compliance Officer - Associate

Deutsche BankJacksonville, FL, US
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Surveillance Trade Surveillance Compliance Officer

Compliance is seeking an Analyst within the Trade Surveillance team to monitor and investigate trading related activities. The primary function of the role is detecting, monitoring, examining and investigating trading activities of Deutsche Bank Investment Bank (IB) to identify possible violations of market abuse and of the Firm's Trading Policies.

What We Offer You

  • A diverse and inclusive environment that embraces change, innovation, and collaboration
  • A hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer days
  • Employee Resource Groups support an inclusive workplace for everyone and promote community engagement
  • Competitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefits
  • Educational resources, matching gift and volunteer programs

What You'll Do

  • Conduct daily surveillance of Firm and Customer trading activity to ensure compliance with appropriate rules, regulations, and firm policies
  • Perform research and investigations to identify the reason for potential violations
  • Document research results and escalate violations and / or suspicious activity according to firm policy and regulatory requirements
  • Work with members of the Firm's Business Lines, Compliance, Legal, and other departments, to identify, analyze, investigate, and resolve issues
  • Perform ad-hoc reviews which may consist of inbound, outbound, and internal correspondence of Deutsche Bank employees
  • Liaise with Information Technology and Senior Management in the development, review, and testing of surveillance models

    • Skills You'll Need

  • Moderate work experience in regulatory, audit, compliance, risk, surveillance, or equivalent
  • Minimum of a College degree (prefer in Finance, Business or Accounting) or equivalent work experience
  • Knowledge / experience with financial markets and an array of financial products (including stocks, bonds, derivative products) is a plus
  • The ability to prioritize and communicate effectively across multiple teams and functions
  • Self-motivated, proactive and able to use your own initiative

    • Skills That Will Help You Excel

  • Excellent verbal communication and written skills
  • A proactive approach to tasks and responsibilities
  • Ability to multi-task effectively and handle change well
  • Advanced PowerPoint and MS Excel (pivot tables, experience with large data sets, proficient in data manipulation and presentation)
  • Team player with great attitude, interpersonal skills and strong work ethic

    • Expectations

    It is the Bank's expectation that employees hired into this role will work in the Jacksonville, FL office in accordance with the Bank's hybrid working model.

    Deutsche Bank provides reasonable accommodations to candidates and employees with a substantiated need based on disability and / or religion.

    The salary range for this position in Jacksonville is $54,000 to $77,400. Actual salaries may be based on a number of factors including, but not limited to, a candidate's skill set, experience, education and other qualifications. Posted salary ranges do not include incentive compensation or any other type of renumeration

    We strive for a culture in which we are empowered to excel together every day. This includes acting responsibly, thinking commercially, taking initiative and working collaboratively.

    Together we share and celebrate the successes of our people. Together we are Deutsche Bank Group.

    We welcome applications from all people and promote a positive, fair and inclusive work environment.

    Qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, protected veteran status or other characteristics protected by law.

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    Surveillance Officer • Jacksonville, FL, US