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By John Stabinger
Posted on 2 April 2020 | 2:40 pm
Alumni / Benefits & Services / Alumni Career Services

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Compliance Surveillance Officer - Assistant Vice President
Deutsche Bank
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Compliance Surveillance Officer - Assistant Vice President

Deutsche Bank

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Details
Posted:
September 15, 2023
Location:
Jacksonville, Florida
Salary:
Open
Type:
Full Time
Job Description:

Job Title Compliance Surveillance Officer

Corporate Title Assistant Vice President

Location Jacksonville, FL

Overview

Compliance is now seeking an AVP level Surveillance Officer within the Trade Surveillance team. The primary function of the role is to conduct surveillance of trading activity to detect potential market abuse, and/or violations 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 Investment Bank trading activities across Fixed Income, Derivatives, FX asset classes, to ensure compliance with appropriate rules, regulations and/or 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 in-depth analysis of trading activity and employee correspondences
  • Ability to analyse, in partnership with members of the broader Surveillance team, quantitative and qualitative reviews of the trading activity in specific business areas
  • Liaise with the Information Technology and Senior Management in the development, review, and testing of new surveillance scenarios
  • Work on ad-hoc Surveillance Projects as needed
Skills You'll Need
  • Moderate relevant work experience in regulatory, audit, compliance, risk, surveillance, or equivalent
  • Knowledge/experience with financial markets and an array of financial products (including bonds, swaps, derivative products)
  • Minimum of a College degree (prefer in Finance, Business or Accounting) or equivalent work experience
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 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 $75,000 to $110,000. 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 remuneration.

Deutsche Bank Values & Diversity

We believe talent is found in all cultures, countries, races, ethnicities, genders, sexual orientations, disabilities, beliefs, generations, backgrounds, and experiences. We pursue a working environment where everyone can be authentic and feel a sense of belonging. Click here to find out more about our diversity and inclusion efforts.

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

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 .

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 .

Internal Number: 20266148
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