Employee Compliance Manager - Vice President

Deutsche Bank • Jacksonville, FL

11d • Hybrid

About The Position

Compliance is seeking a Vice President to lead our Employee Compliance Team. You will be expected to lead a team that monitors, investigates, reviews and approves personal employee trading accounts, and trade requests for staff members in the Americas Region. The team is also responsible for performing surveillance of employee trading accounts and personal activity to detect violations of the Firm’s Employee Compliance Policies.

Requirements

• Experience in people management / team leadership and process management and design.
• Moderate experience in a Compliance/Employee Support model.
• Bachelors’ degree or equivalent work experience.
• Prior experience in approving personal trade requests.
• MS Excel, PowerPoint, SharePoint skills required (pivot tables, experience with large data sets, proficient in data manipulation and presentation).

Nice To Haves

• A strong team leader, able to work effectively under pressure and to tight deadlines, capable of exercising sound judgement and good decision-making in managing risk, while demonstrating integrity, trust and fairness in all that you do.
• Able to share information, knowledge and expertise with team members and stakeholders in varying teams and across the hierarchy.
• Exceptional detail oriented, organizational, writing and communication skills with the ability to multi-task on several different assignments/projects, works well under pressure and meet deadlines.
• Strong interpersonal and communication skills including ability to communicate professionally and effectively, while using discretion with sensitive and confidential data, across all mediums with staff at all levels.
• Ability to identify, escalate and communicate issues to management in an effective and succinct manner.

Responsibilities

• Manage the run-the-bank processes and teams relating to Personal Account Dealing, and Employee Compliance Attestations for the Americas region.
• Review high volume of employee trading alerts flagged as potential violations of the Employee Trading Policies via Alert Manager. Apply knowledge of industry and policies to each alert to determine if there is a potential violation.
• Review and approve employee requests for trade preclearance and disclosure of brokerage accounts.
• Escalate and communicate clearly, both in writing and orally, with peers and Manager regarding issues encountered, questions and any data irregularities.
• Develop criteria for gathering business requirements for related projects, review functional requirements, participate in project meetings, perform user acceptance testing, manage post implementation issues and system enhancements.
• Conduct and manage daily surveillance of executed trades in Employee and Employee related personal trading accounts to ensure compliance with the Firm’s Trading Policies.
• Supervise, manage, and motivate team members. Setting clear team goals and delegating tasks as needed.
• Discover training needs and provide coaching. Monitor team performance and report on metrics.
• Establish and maintain close collaborative working relationships with Business Line Compliance, Business Control Units, Investigative function, and key business stakeholders to mitigate risks associated to staff member disclosures.

Benefits

• 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 This Job Offers

• Job Type: Full-time
• Career Level: Executive