Compliance Surveillance Director

4 weeks ago


Jacksonville, Florida, United States Deutsche Bank Full time

Deutsche Bank is seeking a seasoned Compliance Surveillance Director for the Americas region to lead our team in monitoring institutional orders/trading, electronic communications, and employee trading. As a key member of our Compliance function, you will be responsible for maintaining the highest standards of regulatory compliance and ensuring our business practices align with industry best practices.

Key Responsibilities:

  1. Lead the Compliance Surveillance function in the Americas, overseeing the monitoring of institutional orders/trading, electronic communications, and employee trading.
  2. Develop and implement effective procedures to detect designated risk types, including insider trading, market abuse, and fair allocation of client orders.
  3. Collaborate with internal Compliance personnel and the Business to conduct annual risk assessments and ensure dedicated risk types are monitored per regulatory requirements.
  4. Provide management information to relevant governance bodies and Senior Compliance Management.
  5. Contribute to projects and change initiatives as required.
  6. Develop and implement effective procedures to adhere to one global platform.
  7. Responsible for the documentation and submission of case results to internal stakeholders.

Requirements:

  • Advanced degree (Accounting, Business, Economics, or Finance preferred) or equivalent work experience.
  • Previous relevant experience in Surveillance, Audit, Compliance/Regulatory, Financial Services, or Risk.
  • Demonstrated expertise with financial services regulations, including SEC and FINRA rules and regulations.
  • Strong knowledge of securities products and asset classes.
  • Strong analytical skills, sound judgment, and strong attention to detail.
  • Strong Microsoft Office skills (specifically Excel and PowerPoint).
  • Ability to exercise independent, and informed judgment.
  • Outstanding written and verbal communication skills, with demonstrated ability to think analytically and strategically to solve problems and implement solutions.
  • Able to meet deadlines and handle multiple matters simultaneously.

Estimated Salary: $120,000 - $180,000 per year.

DWS offers a competitive salary and a range of benefits, including generous paid time away, physical and mental health well-being benefits, and a 401K savings plan. We are an equal opportunity employer and welcome applications from diverse candidates.



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