Description

Additional Job Description

Job Title: Compliance Surveillance Officer for Communication, Information Barrier, and Trade 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 United States. 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 a focus on surveillance monitoring and testing on products encompassing Benchmark, Fixed Income and Swaps, Foreign Exchange, and Listed Derivatives products. The role will encompass reviewing across work streams such as, ecommunication, information barrier and trade surveillance.

The risks covered by compliance surveillance are market abuse, market manipulation, insider trading and information barrier controls.

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

The successful candidate will be responsible for conducting surveillance across communication, information barrier and trade products for the global surveillance function. Financial market products include, Benchmark, Fixed Income and Swaps, Foreign Exchange, and LD products.

At the discretion of management, the successful candidate will be directed to focus at different times on a single product space, e.g. trade surveillance or be required to conduct both communication and trade surveillance.

• Review alerts in compliance surveillance systems such as Smarts Broker, Enterprise Analytics Platform (EAP) and CSURV.
• Ensure the review of these alerts are carried out professionally, handled, and either referred to the appropriate stakeholder or closed with no action in a correct fashion.
• Ensure SLAs relating to timeliness are not breached.
• Utilize financial market news services such as Bloomberg for research to assist in the correct analysis of surveillance alerts.
• Review, investigate and escalate irregularities and abnormal activities.
• Ensure escalated cases are followed up and documented and updated in a timely manner.
• Conduct QA (Quality Assurance) of reviewed surveillance alerts and ensure appropriate QA documentation.
• Partner with other surveillance teams globally on surveillance matters.
• Create MI Reports as and when required for senior management and other bank functions or audits and inspections.
• Provide support on any ad hoc surveillance tasks and requests as and when required.
• Remain aware of any regulatory developments which may impact the bank's surveillance processes and mandate.
• Working with Compliance Information Technology in the preparation and User Acceptance Testing of new tools, amendments to existing tools to ensure effectiveness and coverage of alerts.
• Additional duties as assigned.

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 principals 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

• Experience with using Surveillance tools (i.e. Smartsbroker) and Bloomberg is an advantage.
• 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.