Compliance Surveillance Officer for Communication, Information Barrier, and Trade Surveillance - AVP

Job Title: Compliance Surveillance Officer for Communication, Information Barrier, and Trade Surveillance, AVP

Location: Manila

Corporate Title: AVP

Compliance Surveillance is a global function with teams of analysts located in, Asia Pacific, Europe, United Kingdom, and the United Sates. The Deutshce Knowledge Services Manilla Compliance Surveillance team provides global overage for Compliance Surveillance.  

The successful candidate will join the Manila Compliance Surveillance function with a focus on surveillance monitoring on financial products covering Benchmark, Fixed Income and Swaps, Foreign Exchange, and Listed Derivatives products. The role will also require coverage of communication, and information barrier 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

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 Listed Derivative products for evidence of market abuse activities.

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.

Other Responsibilities

• Ensure the review of surveillance alerts are carried out professionally, reviewed and actioned appropriately, which may be escalation to the appropriate stakeholder or closed with no action.
• Ensure alert reviews are conducted in a timely manner to ensure compliance with required SLAs.
• Understand, utilize and correctly interpret financial market news services such as Bloomberg as 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, or audit and inspections.
• Provide support on any ad hoc surveillance tasks and requests as and when required.
• Remain aware of any regulatory changes and releases which may impact the bank’s surveillance processes and mandate.
• Working with Compliance Information Technology in the development and participate user acceptance testing (“UAT”) of new applications, as well as enhancements to existing platforms to ensure the continued effectiveness coverage of alerts.
• Additional duties as assigned.

Your skills and experience

Successful Candidate Essential Skills & Competencies

Technical Knowledge and Skills

• Knowledge of Financial Markets, how they operate, and have knowledge and understanding of the various financial products and their role in markets.  
• Exhibit a clear 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 this data to identify potential market abuse issues.
• Be able to multitask and work 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.
• Have an ability to work within a team and always operate professionally.  
• Proactive, motivated, and driven to resolve issues in a timely manner.
• Ability to engage and manage multiple stakeholders.

Relevant Work Experience

• A minimum of 8-10 years’ experience in Surveillance and Compliance is preferred.
• Experience in banking with exposure to financial market products such as, Listed Derivatives, Fixed Income and FX products. 
• Project management and UAT testing experience.
• A previous financial services role with foundational knowledge and 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.

Preferred Software Technical Skills

• Experience with using Surveillance platforms such as SmartsBroker.
• Skilled in the use of financial news platforms such as Bloomberg and Reuters. 
• Proficiency in MS Office (Macro writing.)
• Awareness of Artificial Intelligence Applications.

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.

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, 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.

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 our diversity and inclusion policy and initiatives.

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 our diversity and inclusion policy and initiatives.

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.