Compliance: Control Room Surveillance Analyst, AVP (Jacksonville, FL)
A Passion to Perform. It's what drives us. More than a claim, this describes the way we do business. We compete to be the Global provider of financial services, balancing passion with precision to deliver superior solutions for our clients. This is made possible by our people: agile minds, able to see beyond the obvious and act effectively in an ever-changing global business landscape. As you'll discover, our culture supports this. Diverse, international, and shaped by a variety of perspectives, we're driven by a shared sense of purpose. At every level agile thinking is nurtured. And at every level agile minds are rewarded with competitive pay, support and opportunities to excel.
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 now seeking an Associate Vice President within the Control Room Surveillance team to monitor, investigate and prevent insider trading and 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, as well as project-based work. This position will also be responsible for managing the team performing Control Room surveillance activities.
The position will be based in Jacksonville, Florida.
Conduct daily surveillance of Proprietary, Customer and Employee’s 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.
Liaise with the Control Room and Compliance Information Technology in the development, review, and testing of new automated surveillance models.
Monitor changes in securities regulations and industry technology to design and implement various policies and procedures.
Review and update the Surveillance Group’s Key Operating Procedures.
Conduct ad-hoc Surveillance Projects.
Manage multiple, deadline-oriented tasks in a fast-pace environment.
Education and Experience:
University degree required, preferably in Finance, Business or Accounting
The successful candidate will have 3-4 years of surveillance experience or similar Compliance role that provided exposure to market trading activities and analysis.
Use of Actimize a plus.
Knowledge/experience with financial markets and an array of financial products (including stocks, bonds, equity/credit derivatives).
Advanced MS Excel (pivot tables, experience with large data sets, proficient in data manipulation and presentation).
Experience with Bloomberg, Reuters, Virtual Data Rooms and Financial applications
** At Deutsche Bank, we are proud to be an Equal Opportunity/Affirmative Action (M/F/D/V) employer **
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