Compliance- Surveillance Officer for Communication Surveillance

5 days ago

Manila, National Capital Region, Philippines Deutsche Bank Full time
Job Description:

Job Title: Compliance Surveillance Officer for Communication Surveillance - Associate

Location: Manila

Corporate Title: Associate

Compliance Surveillance is a global function with teams of analysts located in Asia Pacific, Europe, United Kingdom, and the Americas. DKS Manilla is forming a new team to join the function and conduct compliance surveillance activities.

The successful candidate will join the newly formed Manilla Compliance Surveillance function with the primary focus on conducting surveillance of electronic communications & voice communications of DB Employees to detect potential insider trading, market abuse, and/or violations of the Firm's Policies.

The role involves working closely with colleagues to support the Americas region. The ideal candidate must be able to work flexible hours to ensure success in this role.

What we'll offer you

A healthy, engaged and well-supported workforce are better equipped to do their best work and, more importantly, enjoy their lives inside and outside the workplace. That's why we are committed to providing an environment with your development and wellbeing at its center.

You can expect:

  • Competitive Salary
  • Attractive Retirement Benefit
  • Medical and Life Insurance upon employment
  • 20 days Annual Vacation Leaves

Your key responsibilities

  • Conduct daily surveillance of electronic and voice communications to ensure compliance with appropriate rules, regulations, and firm 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.
  • Ensure SLAs relating to timeliness are not breached.
  • Work with members of the broader Surveillance team to identify, analyze, investigate, and resolve issues.
  • Perform ad-hoc reviews which may consist of inbound, outbound, and internal correspondence of DB employees.
  • Ability to analyse, in partnership with members of Trade Surveillance staff, quantitative and qualitative reviews of the trading activity in specific business areas.
  • Remain aware of any regulatory developments which may impact the bank's surveillance processes and mandate.
  • Work on ad-hoc Surveillance tasks as needed.

Your skills and experience

Requirements

Essential Skills & Competencies

Technical Knowledge and Skills

  • Knowledge of Financial Markets, how they operate, and have some familiarity and understanding of what products are used.
  • Exhibit at a minimum, an understanding of what market abuse and market manipulation principles are and how they relate to compliance surveillance.

General Competencies

  • Strong attention to detail, analytical skills, and sound judgement.
  • Ability to analyse large data sets and investigate to identify potential issues.
  • Be able to multitask and work on multiple projects with a focus on quality over quantity.
  • Have a sound foundation of knowledge relating to compliance and regulatory requirements related to compliance surveillance.
  • Knowledge/awareness of applicable securities rules.
  • Be an evidenced problem solver.
  • Team player with an ability to work independently as and when required.
  • Proactive, motivated, and driven to resolve issues in a timely manner.
  • Ability to engage and manage multiple stakeholders with separate and conflicting agendas.

Work Experience

  • Previous role as a surveillance analyst in either or all of communication, information barrier and trade surveillance.
  • Experience in banking with exposure to Financial Market products such as Listed Derivatives, Fixed Income and FX products.
  • A minimum of 2 years' experience in Surveillance and Compliance would be preferred.
  • Project management and UAT testing experience.
  • A previous financial services role with exposure to financial market processes.

Education

  • Degree level preferably in finance or economics.

Language Skills

  • English – fluent in spoken and written.
  • Fluency in Asian or European languages would be viewed favourably.

Software Technical Skills

  • Proficiency in MS Office (Macro writing would be a plus).

How we'll support you

  • Training and development to help you excel in your career.
  • Coaching and support from experts in your team.
  • A culture of continuous learning to aid progression.

About us and our teams

Deutsche Bank is the leading German bank with strong European roots and a global network. Click here to see what we do.

We strive for a culture in which we are empowered to excel together every day. This includes acting responsibly, thinking commercially, taking initiative and working collaboratively.

Together we share and celebrate the successes of our people. Together we are Deutsche Bank Group.

We welcome applications from all people and promote a positive, fair and inclusive work environment.

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