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Surveillance Team Lead

Deutsche Bank

Deutsche Bank

Jacksonville, FL, USA
Posted on Friday, October 6, 2023

Job Description:

Employer: DWS Group

Title: Americas Head of Surveillance

Location: Jacksonville, FL

Job Code: #LI-LV2 #LI-04

About DWS:

Today, markets face a whole new set of pressures – but also a whole lot of opportunity too. Opportunity to innovate differently. Opportunity to invest responsibly. And opportunity to make change.

Join us at DWS, and you can be part of an industry-leading firm with a global presence. You can lead ambitious opportunities and shape the future of investing. You can support our clients, local communities, and the environment.

We’re looking for creative thinkers and innovators to join us as the world continues to transform. As whole markets change, one thing remains clear; our people always work together to capture the opportunities of tomorrow. That’s why we are ‘Investors for a new now’.

As investors on behalf of our clients, it is our role to find investment solutions. Ensuring the best possible foundation for our clients’ financial future. And in return, we’ll give you the support and platform to develop new skills, make an impact and work alongside some of the industry’s greatest thought leaders. This is your chance to achieve your goals and lead an extraordinary career.

This is your chance to invest in your future.

Read more about DWS and who we are here.

Team / Division Overview

The Team Lead AFC & Compliance position heads the DWS Surveillance Team and reports to the Regional Head of AFC & Compliance, Americas. The Team Lead AFC & Compliance position is responsible for controls of dedicated risks associated with institutional orders/trading, employee trading, and electronic communications.

Role Details

As a/an Team Lead AFC & Compliance, you will (be):

  • Leading Team responsible for the Compliance Surveillance function in the Americas region which includes the monitoring of institutional orders/trading, electronic communications, and employee trading

  • Subject matter expertise of current and upcoming regulations relating to Trade Surveillance including the ownership of control parameters designed to detect designated risk types including, but not limited to, insider trading, market abuse, and fair allocation of client orders

  • Subject matter expertise of current and upcoming regulations relating to Electronic Communications Surveillance including the ownership of lexicon policies designed to detect designated risk types including, but not limited to, insider trading, market abuse, and unauthorized communication channels

  • Manage workload of staff responsible for the reviews which detect non-compliance with appropriate rules, regulations, and firm policies

  • Manage implementation of surveillance vendor solutions

  • Conduct annual risk assessments, together with internal Compliance personnel and the Business, to ensure dedicated risk types are monitored per regulatory requirements and market best practices

  • Provide management information to relevant governance bodies and Senior Compliance Management

  • Contribute to projects and change initiatives as required

  • Provide training and guidance to team members as required including Quality Assurance reviews

  • Lead the development, enhancement, and implementation of effective procedures and strategic solutions to adhere to one global platform

  • Responsible for the documentation and submission of case results to internal stakeholders including determining whether findings must be escalated to relevant internal groups or external regulatory bodies

  • Escalate current or emerging risks to Senior Compliance Management as required in a timely fashion

We are looking for:

  • 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

  • Ability to collaborate with senior stakeholders and global colleagues across control functions and with the Business on key initiatives

  • Previous relevant experience in the implementation of vendor solutions (preferred)

License(s) required:

  • FINRA Securities Industry Essentials (SIE) Exam or FINRA Series 7 (preferred)

What we’ll offer you:

At DWS we’re serious about diversity, equity and creating an inclusive culture where colleagues can be themselves sand it’s important to us that you enjoy coming to work - feeling healthy, happy and rewarded. At DWS, you’ll have access to a range of benefits which you can choose from to create a personalized plan unique to your lifestyle. Whether you’re interested in healthcare, company perks, or are thinking about your retirement plan, there’s something for everyone.

Some of our core benefits:

  • Competitive Salary and Matched 401K Savings Plan

  • Generous Paid Time Away plus Bank Holidays

  • Physical and Mental Health Well-Being benefits including (but not limited to) Health & Life Insurance Plans and the support of trained Mental Health First Aiders

  • Family friendly benefits including generous parental leave packages (supporting all variations of family set-ups), to healthcare plans and travel insurance

  • The opportunity to support our CSR strategy which is focused on combatting climate change & achieving greater social justice. You can make donations to our partnered organizations or take part in corporate volunteering opportunities in your local communities by providing on hand support.

DWS’ Hybrid Working model is designed to find the right balance between in-person collaboration and engagement in the office, which is core to our working culture, and working from home. Each business group varies on the split between time spent in the office and at home, but this will be discussed and made clear as part of your application and interview process. We will continue to review and evolve our working environments and methods to ensure that we are working in the best way possible for our people.

If you require any adjustments or changes to be made to the interview process for any reason including, or related to a disability or long-term health condition, then please contact your recruiter and let them know what assistance you may need. Examples of adjustments include providing a change to the format of the interview, or providing assistance when at the DWS office. This will not affect your application and your recruitment team will discuss options with you.

Our values define the working environment we strive to create – diverse, supportive and welcoming of different views. We embrace a culture reflecting a variety of perspectives, insights and backgrounds to drive innovation. We build talented and diverse teams to drive business results and encourage our people to develop to their full potential. Talk to us about flexible work arrangements and other initiatives we offer.

We promote good working relationships and encourage high standards of conduct and work performance. We welcome applications from talented people from all cultures, countries, races, genders, sexual orientations, disabilities, beliefs and generations and are committed to providing a working environment free from harassment, discrimination and retaliation.

Visit Inside Deutsche Bank to discover more about the culture of Deutsche Bank including Diversity, Equity & Inclusion, Leadership, Learning, Future of Work and more besides.

We are an Equal Opportunity Employer - Veterans/Disabled and other protected categories. Click these links to view the following notices: EEO is the Law poster and supplement; Employee Rights and Responsibilities under the Family and Medical Leave Act; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision.