Surveillance – Trade Surveillance Compliance Officer
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Overview
Job Description
Job Description:
Job Title Surveillance – Trade Surveillance Compliance Officer
Corporate Title: Analyst
Location: Jacksonville, FL
Overview
Compliance is seeking an Analyst or Associate 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 Analyst salary range for this position in Jacksonville is $45,000 to $76,500. 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
Deutsche Bank Benefits
At Deutsche Bank, we recognize that our benefit programs have a profound impact on our colleagues. That’s why we are focused on providing benefits and perks that enable our colleagues to live authentically and be their whole selves, at every stage of life. We provide access to physical, emotional, and financial wellness benefits that allow our colleagues to stay financially secure and strike balance between work and home. Click here to learn more!
Learn more about your life at Deutsche Bank through the eyes of our current employees https://careers.db.com/life
The California Consumer Privacy Act outlines how companies can use personal information. If you are interested in receiving a copy of Deutsche Bank’s California Privacy Notice please email HR.Direct@DB.com.
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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. Click these links to view Deutsche Bank’s Equal Opportunity Policy Statement and the following notices: EEOC Know Your Rights; Employee Rights and Responsibilities under the Family and Medical Leave Act; and Employee Polygraph Protection Act.
Automate your job search with Sonara.
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