Compliance Trade Surveillance Associate-Equities

Key Responsibilities:
- Must be able to work with members of the firm’s regulators, Compliance, Legal and other departments, to identify, analyze, investigate, escalate, and resolve issues
- Review electronic communications for regulatory and/or policy violations
- Analyze, identify, and evaluate risk from multiple sources, including surveillance reports and internal audit reports
- Ability to document results and recommend improvements to compliance and operational procedures
- Research and investigate potential manipulative activity from a queue of flagged alert items
- Ability to conduct critical analyses with a sample of data and make informed, confident decisions of action
- Ability to work independently with minimal supervision


Meet Some of Deutsche Bank's Employees

Laura

AVP—Anti-Financial Crime

Laura coordinates Deutsche Bank’s global efforts to combat criminal behavior by introducing and enforcing important policies and procedures.

Jamal

Associate—Chief Security Office

Jamal works in the Chief Security Office, supporting the regional execution of the Information Security program and analyzing the effectiveness of information security controls across group wide products and services.


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