Surveillance – Trade Surveillance Compliance Officer

Deutsche Bank•Jacksonville, FL

1d•$45,000 - $76,500•Hybrid

About The Position

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

Requirements

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

Nice To Haves

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

Responsibilities

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