Surveillance Officer - Assistant Vice President

Deutsche Bank • Jacksonville, FL

1d • $75,000 - $119,500 • Hybrid

About The Position

Compliance is now seeking an AVP level Compliance Officer within the 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. Additionally, this role will support important global program initiatives and enhance the detection capabilities for trade and communications surveillance.

Requirements

• Advanced work experience in regulatory, audit, compliance, risk, surveillance, or equivalent
• Knowledge/experience with financial markets and an array of financial products (including stocks, bonds, equity/credit derivatives)
• Minimum of a College degree (prefer in Finance, Business or Accounting) or equivalent work experience

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 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 Investment Bank trading and communications activities across Fixed Income, Derivatives, and FX asset classes to ensure compliance with applicable rules, regulations, and firm policies
• Perform research, investigations, and ad-hoc reviews, including in-depth analysis of trading activity and employee correspondence, to identify potential violations and determine root causes
• Document investigative findings and escalate violations and/or suspicious activity in accordance with firm policy and regulatory requirements
• Work with members of the firm’s Business Lines, Compliance, Legal, and other departments, including senior stakeholders, to identify, analyze, investigate, and resolve surveillance-related issues
• Prepare materials for engagement with global regulators (FRB, SEC, FCA, BaFin, etc.) and senior management on topics related to trade and communications surveillance
• Participate in strategic initiatives and ad-hoc surveillance projects, stay ahead of industry practices, and provide guidance to junior staff on regulatory risk and policy violations during investigations

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: Mid Level