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Compliance Trade Surveillance Assistant Vice President

Company name
Deutsche Bank AG, Frankfurt am Main

West Jacksonville, FL

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Regulation, Compliance & Anti-Financial Crime Regulation, Compliance and Anti-Financial Crime (AFC) protects the integrity and reputation of Deutsche Bank. It manages the Bank\u2019s 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. Position Overview About Deutsche Bank A Passion to Perform is what drives us. More than a claim, this describes the way we do business. We\u2019re committed to being the best financial services provider in the world, 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. Diverse, international and shaped by a variety of different perspectives, we\u2019re 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. Department 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\u2019s success. Compliance is now seeking an Associate Vice President within the 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\u2019s Watch and Restricted lists to detect potential insider trading, market abuse, and\/or violations of the Firm\u2019s Trading Policies, as well as project-based work. Key Responsibilities: Conduct daily surveillance of Equities, Fixed Income, CCY and derivatives trading activities to ensure compliance with the Firm\u2019s 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 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\u2019s Key Operating Procedures Manage multiple, deadline-oriented tasks in a fast-pace environment Research and investigate potential manipulative activity from a queue of flagged alert items Ability to conduct critical analyses with a sample of data and make informed, confident decisions of action Ad-hoc projects as requested You will have: Previous work experience in regulatory, audit, compliance, risk or surveillance role Minimum of a College degree (prefer in Finance, Business or Accounting) or equivalent work experience You will have surveillance experience or similar Compliance role that provided exposure to market trading activities and analysis Knowledge\/experience with financial markets and an array of financial products (including stocks, bonds, equity\/credit derivatives) You will be: Basic understanding of Trade Life Cycle and elements of a trade required Analytical, process-oriented mindset \u2013 prior experience in data analysis preferred Excellent verbal communication and written skills A proactive approach to tasks and responsibilities Ability to multi-task effectively and handle change well Detail-oriented, coupled with strong problem solving skills Ability to communicate issues to Senior Management in an effective manner The ability to work under pressure and within tight deadlines with no loss of accuracy Proficient in Word, Excel, Access and PowerPoint 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, BlackRock Solutions Aladdin, 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 \u201c\u201d poster and

Company info

Deutsche Bank AG, Frankfurt am Main
Website :

Company Profile
Deutsche Bank is a leading global investment bank with a substantial private clients franchise. Its businesses are mutually reinforcing.A leader in Germany and Europe, the bank is continuously growing in North America, Asia and key emerging markets.

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