Compliance Employee Support - Vice President

Compliance Employee Support - Vice President

Job ID: 3174355
Full/Part-Time: Full-time
Regular/Temporary: Regular
Listed: 2018-08-06
Location: Jacksonville, United States of America

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.

Position Overview

Job Title: Compliance Employee Support
Corporate Title: Vice President
Division: Compliance
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.


The Compliance Department performs an independent 2nd level control function that protects the Bank's license to operate by promoting and enforcing compliance with the law and driving a culture of compliance and ethical conduct in the Bank.

The Employee Compliance Teams core function is to provide effective advice and tools to enable Deutsche Bank Employees to observe the highest standards of individual behavior and conduct and to assess, monitor, and report on Compliance risks posed by Employees associated with the following pillars:

  • Employee Trading (including Private Investment Transactions)
  • Outside Business Interests
  • Political Contributions
  • Employee Compliance Attestations


Compliance is seeking a Vice President to lead our Employee Support Department. You are expected to lead a team that monitors, investigates, reviews, and approves personal employee trading accounts, trade requests, outside business interests, political contributions. The team is also required to perform surveillance of Employee trading accounts and activity to detect violations of the Firm's Trading Policies.

Key Responsibilities:
  • Manage and oversee a team of Analyst to AVP level associates
  • Set team deliverables and set timescales to agreed minimum standards and ensuring adherence to regulatory/ audit requirements
  • Promote continuous analysis by interpreting relevant industry regulations and Deutsche Bank's Compliance policies to ensure controls are appropriately implemented and monitored for compliance
  • Perform oversight functions and work with monitoring team leads in order to provide feedback and determine focus of reviews
  • Work closely with team daily to ensure that the work is prioritized based on staffing and capacity for the team
  • Work directly with the Compliance Senior management to identify and escalate open issues that represent risk
  • Keep abreast of new rules, regulations, and reputation risks to develop implement and revise current policies and procedures
  • Ensure continual best practices across the transaction monitoring investigative process are effectuated
  • Develop and retain staff with supporting personnel continued development and assist in the development of training guidance
  • Serve as a point of contact for the respective transaction monitoring team leads to address any issues/concerns that may arise as it pertains to the investigative process
  • Manage and assist in the management of succession planning
  • Understand business and regulatory requirements and ensure functions are being performed in those requirements
  • Conduct & manage daily surveillance of executed trades in Employee and Employee related personal trading accounts to ensure compliance with the Firm's Trading Policies
  • 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
  • Respond to regulatory and audit requests for information on Employee Compliance activities
  • Monitor changes in securities regulations and industry technology to design and implement various policies and procedures
  • Conduct ad-hoc Employee Compliance related projects and training
  • Effectively communicate with senior management when questions regarding personal trading or their personal accounts arise
  • Develop, track and follow-up on escalations and issues within Employee Compliance to ensure timely response and action
  • Manage multiple, deadline-oriented tasks in a fast-pace environment
  • Monitor MIS and ensure management accountability in resolving the aging of cases/alerts to meet established SLA
  • Ensure KOPs are up to date and work on special projects and assist as needed

You will have:
  • Minimum of a Bachelor's degree or equivalent work experience
  • Previous relevant experience in a Compliance/Employee Support models
  • The ability to lead a team of professionals by goal setting and driving completion of assigned tasks
  • The ability to interact with Infrastructure and other appropriate groups in a fast paced environment
  • The ability to identify, escalate, and communicate issues to management in an effective and succinct manner
  • The ability to multi-task on several different assignments/projects, works well under pressure and meet deadlines
  • An adept in working with people at all levels in the organization and organizational awareness
  • Effective decision making skills and strong problem solving skills
  • Prior experience in approving personal trade requests, Outside Business Interests requests and Private Investment (experience with Actimize a plus)
  • Proven ability to multi task as well as assess and change priorities
  • Exceptional organizational, writing, and communication skills with the ability to multi-task
  • Knowledge/experience with array of financial products (including stocks, bonds, equity/credit derivatives)
  • MS Excel and PowerPoint skills (pivot tables, experience with large data sets, proficient in data manipulation and presentation) required
  • Series 7 a plus

You will be:
  • A good team player with the ability to manage the team's workload and their own
  • A strong communicator, comfortable in presenting and explaining analysis
  • Must be detailed oriented, interest in the markets, current events, and financial news

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.

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