Communications Surveillance - Associate Communications Surveillance - 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
Communications Surveillance - Associate
Position Overview

Job Title: Communications Surveillance

Corporate Title: Associate

Location: Jacksonville, FL

Business Description
DWS Group (DWS) is one of the world's leading asset managers with EUR 745bn of assets under management (as of June 2019). Building on more than 60 years of experience and a reputation for excellence in Germany and across Europe, DWS has come to be recognized by clients globally as a trusted source for integrated investment solutions, stability and innovation across a full spectrum of investment disciplines.

We offer individuals and institutions access to our strong investment capabilities across all major asset classes and solutions aligned to growth trends. Our diverse expertise in Active, Passive and Alternatives asset management - as well as our deep environmental, social and governance focus - complement each other when creating targeted solutions for our clients.

Our expertise and on-the-ground-knowledge of our economists, research analysts and investment professionals are brought together in one consistent global CIO View, which guides our strategic investment approach. DWS wants to innovate and shape the future of investing: with staff from 35 nationalities, speaking more than 75 languages rooted in 22 countries, we are local while being one global team.


The DWS Compliance Communications Surveillance team is responsible for conducting surveillance of electronic communications of DWS Employees to detect potential insider trading, market abuse, and/or violations of the Firm's Policies.

What We Offer You:

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

  • On-site gym, cafeteria, health center, and communal meeting areas

  • Active engagement with the local community through DWS's specialized employee groups

  • An open seating environment that encourages networking and collaboration across functions and businesses

Your Key Responsibilities:

  • Conduct daily surveillance of electronic communications to ensure compliance with Firm policies and regulatory requirements

  • 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

  • Analyze, identify, and evaluate risk from multiple sources, including surveillance reports and internal audit reports

  • Perform ad-hoc reviews which may consist of inbound, outbound, and internal correspondence of DWS employees

  • Monitor changes in securities regulations and industry technology to design and implement various policies and procedures

Your Skills and Experience:

  • Bachelor's degree (preferably in Accounting, Business, Economics, or Finance) or equivalent work experience

  • FINRA Securities Industry Essentials (SIE) Exam or FINRA Series 7 and FINRA Series 24 (preferred)

  • Previous relevant experience in Audit, Compliance/Regulatory, Financial Services, Risk or Surveillance (preferred)

  • Knowledge/experience with financial markets and an array of financial products (including stocks, bonds, equity/credit derivatives)

  • Strong practical experience using of Microsoft Word, Excel, PowerPoint and SharePoint

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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