Compliance Analyst - Surveillance Manager

  • 11 janvier
  • England - City & Borough of Birmingham
  • CDI
Deutsche Bank AG
Compliance

At Deutsche Bank, good compliance is everybody's responsibility. The Compliance department's core functions support good compliance practice to prevent and detect violations of all applicable laws, rules and principles that observe high standards of individual behaviour and business conduct.

Working closely with the business, compliance professionals ensure that our risk based programme 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.

Job Title: Compliance Analyst - Surveillance Manager
Corporate Title: No Corporate Title
Division: Compliance
Location: Birmingham

Overview:

You'll be joining the Surveillance team within the Compliance department, performing a variety of tasks with respect to the Bank's European Trading operations which will include Information Barriers, Communications Surveillance and Trade surveillance across Proprietary, Asset & Wealth Management and Private Banking businesses, across most financial products. You may also be representing Europe, Middle East, Africa (EMEA) Surveillance in global projects, including implementing surveillance of new models, new products and jurisdictions, as well as other enhancements to the effectiveness or efficiency of surveillance. You will be integrated across a team of surveillance professionals, locally and globally and be involved in training to enhance the robustness of the surveillance processes and compliance, regulatory, product and markets knowledge of the team.

Key Responsibilities:

* Being part of the EMEA Compliance Surveillance Management team
* Performing the review and investigation of Information Barriers (IB) surveillance alerts and escalations in a timely manner, taking any necessary action for Communications and Information Barriers Surveillance
* Ensuring consistent delivery and service levels are maintained
* Developing your product knowledge and understanding in trading methodologies
* Reviewing and opining on alerts; trading, emails and other communications (i.e. Voice) for potential breaches of laws, regulations and internal policies
* Following and improving procedures to identify and resolve compliance issues and escalating compliance breaches for further investigation and action
* Understanding high-complex processes, making judgment calls which require strong interpretation skills
* Documenting results
* Building and fostering close relationships with stakeholders
* Supporting the team in day-to-day operational issues
* Ad-hoc Management Information (MI) reporting and project work
* Acting within the team, including attending training sessions, representing Surveillance to senior stakeholders in the business and Compliance management
* Working with Compliance Information Technology (IT) in the preparation and user acceptance testing (UAT) of new scenarios and amendments to existing in order to ensure effectiveness and coverage of alerts
* Developing of self in the surveillance processes to ensure effective and efficient operation of activities

Skills & Qualifications:

* Educated to Bachelors' degree level (or equivalent qualification / work experience)
* Previous Information Barriers experience (Scenarios / alerts)
* Specific surveillance or trading experience covering a variety of financial products (beneficial)
* Compliance/regulatory type of experience (beneficial)
* Managing deadlines and ensuring adherence to regulatory/audit requirements
* Excellent presentation skills, both oral and written
* Excellent interpersonal skills, and the ability to network and build and maintain relationships
* The ability to explain complex concepts in simple and easy to understand way
* A highly motivated self-starter with a pro-active approach
* Analytical with some investigative experience
* Personable with the ability to work with people from a wide variety and backgrounds and cultures

Deutsche Bank is an equal opportunity employer who seeks to recruit and appoint the best available person for a job regardless of marital / civil partnership status, sex (including pregnancy), age, religion, belief, race, nationality and ethnic or national origin, colour, sexual orientation or disability.

Please let us know if you require any adjustments to enable you to apply or attend an interview. If you would like to discuss your requirements, or have any concerns about the application process, please contact your recruiter.