Compliance Employee Compliance Support - Associate Compliance Employee Compliance Support - Associate …

Deutsche Bank
in Jacksonville, FL, United States
Permanent, Full time
Be the first to apply
Deutsche Bank
in Jacksonville, FL, United States
Permanent, Full time
Be the first to apply
Compliance Employee Compliance Support - Associate
Position Overview

Job Title: Compliance Employee Compliance Support

Corporate Title: Associate

Location: McLean, VA


Compliance is seeking an Associate for the Employee Support Team. You are expected to monitor, investigate, review, and approve personal employee trading accounts, trade requests, outside business interests, and private investment transactions. You will be required to perform surveillance of employee trading accounts and activity to detect violations of the Bank's trading policies. Additionally, you will be responsible for registering internal employees with FINRA & NFA along with other projects, as required.

What We Offer You:

  • We offer competitive health and wellness benefits, empowering you to value life in and out of the office

  • Retirement Savings Plans, Parental Leave, and other family-friendly programs

Hear from our people and look inside our office: DB@The Muse

Your Key Responsibilities:

  • Perform functions relating to personal account dealing, outside business interests, and employee compliance attestations for the Americas region

  • Review high volume of employee trading alerts flagged as potential violations of the employee trading policies via Actimize Case Manager and apply knowledge of industry and policies to each and every alert to determine if there is a potential violation

  • Perform conflict check analysis on employee requests for outside business interests, private investment transactions, brokerage accounts, and political contributions

  • Escalate and communicate clearly, both in writing and orally, with peers, manager, and employees regarding issues encountered, questions, and any violations of policy

  • Maintain a working knowledge of all employee compliance related policies and key operating procedures

  • Assist in performing user acceptance testing, report post implementation issues, and provide feedback on potential system enhancements

Your Skills and Experience:

  • Substantial broker-dealer and/ or investment advisor experience and minimum of a Bachelor's degree

  • Ability to identify, escalate, and communicate issues to management in an effective and succinct manner

  • Proven ability to multi task as well as assess and change priorities

  • Knowledge of FINRA's Web CRD system and NFA ORS system

  • Familiarity with FINRA rules & regulations

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.

Click here to find out more about diversity and inclusion.

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.

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