Job ID: 3186268 Full/Part-Time: Full-time
Regular/Temporary: Regular Listed: 2019-02-27
Location: Jacksonville, United States of America
Regulation, Compliance & Anti-Financial Crime
Regulation, Compliance and Anti-Financial Crime (AFC) protects the integrity and reputation of Deutsche Bank. It manages the Bank’s risks and help to avert unintentional rule breaches and conflicts of interest. At the same time, we also advise the bank on ethical conduct and governance issues and keep the bank up to date on regulatory and political challenges.
Job Title: Surveillance – Information Barrier Surveillance (IBS)
Corporate Title: Associate
Location: Jacksonville, FL
About Deutsche Bank
We are Germany’s leading bank with strong positions in Europe and significant presence in the Americas and Asia Pacific. We’re driving growth through our strong client franchise, investing heavily in digital technologies, prioritizing long-term success over short-term gains, and serving society with ambition and integrity. We serve our clients’ real economic needs in commercial and investment banking, retail banking and transaction banking, and provide ground-breaking products and services in asset and wealth management. That means a career packed with opportunities to grow and the chance to shape the future of our clients.
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.
Working closely with the business, compliance professionals ensure that our risk based program is both globally effective and locally anchored to our key divisional businesses. As an independent and robust second level control function, the Compliance Department seeks to manage compliance risk and deepen the culture of compliance at Deutsche Bank through the development and management of strategies that are sustainable and increases the trust of our clients.
The Compliance Department protects the Bank by advising on ethical conduct, identifying regulatory solutions, safeguarding integrity and reputation, and promoting, in partnership with the business, a culture of Compliance. Given the increasing regulatory scrutiny and the need to implement a robust and globally consistent control framework, an effective surveillance function is a key component to the Department’s success.
Compliance is seeking an Associate within the Information Barrier Surveillance team to monitor and investigate trading related activities. The primary function of the role is to conduct surveillance of trade executions against Deutsche Bank’s Watch and Restricted lists to detect potential insider trading, market abuse, and/or violations of the Firm’s Trading Policies.
Conduct daily surveillance of Firm, Customer and Employee trading activities to ensure compliance with the Firm’s Watch & Restricted Lists, and Insider Trading 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
Analyze, identify and evaluate data from multiple sources, including surveillance reports and internal audit reports
Ability to perform, in conjunction with the other members of Business Line Compliance staff, quantitative and qualitative reviews of specific business areas
Liaise with the Control Room, Information Technology, Senior Management in the development, review, and testing of new surveillance models
Monitor changes in securities regulations and industry technology to design and implement various policies and procedures
Review and update the Key Operating Procedures
Conduct ad-hoc Surveillance projects
Manage multiple, deadline-oriented tasks in a fast-pace environment
Skills & Qualifications:
Experience in regulatory, audit, compliance, or surveillance role that provided exposure to market trading activities and analysis
College degree (prefer in Finance, Business or Accounting) or equivalent work experience
Understanding of financial markets and financial products (including stocks, bonds, equity/credit derivatives)
Basic understanding of Trade Life Cycle and elements of a trade
A proactive approach to tasks and responsibilities
Ability to multi-task effectively and handle change well
Detail-oriented, coupled with strong problem solving skills
The ability to work under pressure and within tight deadlines with no loss of accuracy
Excellent verbal communication and written skills
Intermediate to advanced 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
Knowledge of Actimize, Smarts Broker, Virtual Data Rooms & Bloomberg is a plus
For candidates applying for positions in the US:
Deutsche Bank is an Equal Opportunity Employer - Veterans/Disabled and other protected categories. Click these links to view the “ EEO is the Law ” poster and pay transparency statement.