Compliance Surveillance Director
4 weeks ago
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:
- Lead the Compliance Surveillance function in the Americas, overseeing the monitoring of institutional orders/trading, electronic communications, and employee trading.
- Develop and implement effective procedures to detect designated risk types, including insider trading, market abuse, and fair allocation of client orders.
- Collaborate with internal Compliance personnel and the Business to conduct annual risk assessments and ensure dedicated risk types are monitored per regulatory requirements.
- Provide management information to relevant governance bodies and Senior Compliance Management.
- Contribute to projects and change initiatives as required.
- Develop and implement effective procedures to adhere to one global platform.
- 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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