Trade Surveillance - Regulation, Compliance & AFC

  • Negotiable
  • Jacksonville, FL, USA Jacksonville FL US
  • Permanent, Full time
  • Deutsche Bank - US
  • 16 Apr 18 2018-04-16

Regulation, Compliance & Anti-Financial Crime Regulation, Compliance and Anti-Financial Crime (AFC) protects the integrity and reputation of Deutsche Bank. It manages the Bank's 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.

Job Title: Trade Surveillance - Foreign Exchange/Derivatives
Corporate Title: Associate/AVP
Location: Jacksonville, FL

About Deutsche Bank

We are Germany's leading bank with strong positions in Europe and significant presence in the Americas and Asia Pacific. We're driving growth through our strong client franchise, investing heavily in digital technologies, prioritizing long-term success over short-term gains, and serving society with ambition and integrity. We serve our clients' real economic needs in commercial and investment banking, retail banking and transaction banking, and provide ground-breaking products and services in asset and wealth management. That means a career packed with opportunities to grow and the chance to shape the future of our clients.


As a leading global Bank with roots in Germany, we're driving change and innovation in the industry - championing integrity, sustainable performance and innovation with our clients, and redefining our culture and relationships with each other.

Working closely with the business, compliance professionals ensure that our risk based program is both globally effective and locally anchored to our key divisional businesses. As an independent and robust second level control function, the Compliance Department seeks to manage compliance risk and deepen the culture of compliance at Deutsche Bank through the development and management of strategies that are sustainable and increases the trust of our clients.

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's success.


Compliance is seeking an Associate level analyst within the Surveillance Group. The primary focus of the role will be monitoring the trading activity of various business lines within the US for Institutional Clients. Surveillance is part of a larger global division and is responsible for detecting, monitoring, examining and investigating trading activities within these divisions. Compliance officers review the firm's activities daily to identify possible violations of regulatory based models and firm policies.

Key Responsibilities:

  • Conduct daily surveillance of 'forensic type' investigations linking various surveillance tools together: knowledge of Actimize, Smarts Broker & Bloomberg a plus
  • 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 the management and Compliance Information Technology in the development, review, and testing of new automated surveillance models
  • Analyze, identify and evaluate risk from multiple sources, including surveillance reports and internal audit reports
  • Ability to perform, in conjunction with the other members of Business Line Compliance staff, quantitative and qualitative reviews of specific business areas
  • Monitor changes in securities regulations and industry technology to design and implement various policies and procedures
  • Review and update the Surveillance Group's Key Operating Procedure
  • Conduct ad-hoc Surveillance Projects
  • Manage multiple, deadline-oriented tasks in a fast-pace environment

You will have:

  • Extensive 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 need to have extensive surveillance experience or similar Compliance role that provided exposure to market trading activities and analysis
  • Experience with futures, precious metals and swaps is a strong plus
  • Knowledge & experience with Foreign Exchange and Derivatives Trading is preferred
  • Understanding of FX and Futures or currencies and swaps Trading.
  • Fixed Income experience.
  • Basic understanding of Trade Life Cycle and elements of a trade required
  • 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

You will be:

  • Analytical, process-oriented mindset
  • Strong attention to detail, coupled with strong problem solving skills
  • Excellent verbal communication and written skills
  • Ability to multi-task effectively and handle change well
  • Detail-oriented, coupled with strong problem solving skills
  • A pro-active, results-oriented approach with strong drive and initiative
  • Well-developed relationship-building skills, networking skills and communication/influencing skills
  • Team player with great attitude, interpersonal skills and strong work ethic
  • Knowledge of Actimize, Smarts Broker, BlackRock Solutions Aladdin, Bloomberg is a plus
  • Advanced MS Excel (pivot tables, experience with large data sets, proficient in data manipulation and presentation).
  • Experience with Bloomberg, Reuters, Virtual Data Rooms and Financial applications

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 "EEO is the Law" poster and pay transparency statement.