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Deutsche Bank

Surveillance - Private Bank Surveillance Compliance Officer - Associate

We are a leading global financial institution committed to maintaining the highest standards of compliance and ethical conduct. Our Private Bank division offers comprehensive wealth management services to high-net-worth clients worldwide. We are seeking a dedicated Surveillance Compliance Officer to join our team in Jacksonville, Florida, to monitor and investigate trading activities within our Private Bank.

Role Overview:
The Surveillance Compliance Officer is responsible for detecting, monitoring, examining, and investigating trading activities of the Private Bank to identify possible violations of market abuse and the firm's trading policies. This role involves conducting surveillance reviews, analyzing trading data, and collaborating with various stakeholders to ensure compliance with regulatory requirements and internal policies.

Key Responsibilities:

Surveillance Monitoring: Utilize surveillance tools to monitor trading activities, ensuring adherence to regulatory standards and internal policies.
Data Analysis: Review and analyze trading data to identify potential market abuse or policy violations.
Investigation: Conduct thorough investigations into suspicious activities, documenting findings and recommending corrective actions.
Reporting: Prepare detailed reports on surveillance findings for senior management and regulatory bodies as required.
Collaboration: Work closely with compliance, legal, and business units to address identified issues and implement effective controls.
Policy Development: Assist in the development and enhancement of surveillance policies and procedures to mitigate compliance risks.

Qualifications:

Education: Bachelor's degree in Finance, Business Administration, or a related field.
Experience: Minimum of 3 years in compliance surveillance within the financial services industry, preferably in private banking.
Skills: Strong analytical and problem-solving abilities; proficiency in surveillance tools and data analysis software; excellent communication and interpersonal skills.
Knowledge: In-depth understanding of market abuse regulations, trading practices, and compliance frameworks.

Benefits:

Compensation: Competitive salary with performance-based incentives.
Health & Wellness: Comprehensive health insurance plans.
Retirement: Pension scheme with employer contributions.
Professional Development: Opportunities for continuous learning and career advancement.

Join our team and contribute to upholding the integrity of our Private Bank's trading activities. Apply today to advance your career in a dynamic and supportive environment.

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