Employee Compliance Manager - Vice President

Job Title Employee Compliance Manager

Corporate Title Vice President

Location Jacksonville

Overview
 

Compliance is seeking a Vice President to lead our Employee Compliance Team. You will be expected to lead a team that monitors, investigates, reviews and approves personal employee trading accounts, and trade requests for staff members in the Americas Region. The team is also responsible for performing surveillance of employee trading accounts and personal activity to detect violations of the Firm’s Employee Compliance Policies.

What We Offer You

• A diverse and inclusive environment that embraces change, innovation, and collaboration

• A hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer days

• Employee Resource Groups support an inclusive workplace for everyone and promote community engagement

• Competitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefits

• Educational resources, matching gift and volunteer programs

What You’ll Do

• You will manage the run-the-bank processes and teams relating to Personal Account Dealing (PAD), and Employee Compliance Attestations for the Americas region

• You will review high volume of employee trading alerts flagged as potential violations of the Employee Trading Policies via Alert Manager. Apply knowledge of industry and policies to each alert to determine if there is a potential violation

• You will review and approve employee requests for trade preclearance and disclosure of brokerage accounts

• You will escalate and communicate clearly, both in writing and orally, with peers and Manager regarding issues encountered, questions and any data irregularities

• You must have the ability to develop criteria for gathering business requirements for related projects, review functional requirements, participate in project meetings, perform user acceptance testing, manage post implementation issues and system enhancements

• You must conduct and manage daily surveillance of executed trades in Employee and Employee related personal trading accounts to ensure compliance with the Firm’s Trading Policies

How You’ll Lead

• You will be responsible for supervising, managing, and motivating team members. Setting clear team goals and delegating tasks as needed

• You will discover training needs and provide coaching. Monitor team performance and report on metrics

• You will establish and maintain close collaborative working relationships with Business Line Compliance, Business Control Units, Investigative function, and key business stakeholders to mitigate risks associated to staff member disclosures

Skills You’ll Need

• Experience in people management / team leadership and process management and design

• Moderate experience in a Compliance/Employee Support model

• Bachelors’ degree or equivalent work experience

• Prior experience in approving personal trade requests

• MS Excel, PowerPoint, SharePoint skills required (pivot tables, experience with large data sets, proficient in data manipulation and presentation)

Skills That Will Help You Excel

• A strong team leader, able to work effectively under pressure and to tight deadlines, capable of exercising sound judgement and good decision-making in managing risk, while demonstrating integrity, trust and fairness in all that you do

• Able to share information, knowledge and expertise with team members and stakeholders in varying teams and across the hierarchy

• Exceptional detail oriented, organizational, writing and communication skills with the ability to multi-task on several different assignments/projects, works well under pressure and meet deadlines

• Strong interpersonal and communication skills including ability to communicate professionally and effectively, while using discretion with sensitive and confidential data, across all mediums with staff at all levels

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

Expectations

It is the Bank’s expectation that employees hired into this role will work in the Jacksonville office in accordance with the Bank’s hybrid working model.

Deutsche Bank provides reasonable accommodations to candidates and employees with a substantiated need based on disability and/or religion.

The salary range for this position in Jacksonville is $96,000 to $152,000. Actual salaries may be based on a number of factors including, but not limited to, a candidate’s skill set, experience, education, work location and other qualifications. Posted salary ranges do not include incentive compensation or any other type of remuneration.

Deutsche Bank Benefits
 

At Deutsche Bank, we recognize that our benefit programs have a profound impact on our colleagues. That’s why we are focused on providing benefits and perks that enable our colleagues to live authenti­cally and be their whole selves, at every stage of life. We provide access to physical, emotional, and financial wellness benefits that allow our colleagues to stay financially secure and strike balance between work and home. Click here to learn more!

Learn more about your life at Deutsche Bank through the eyes of our current employees https://careers.db.com/life

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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.

Qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, protected veteran status or other characteristics protected by law. Click these links to view Deutsche Bank’s Equal Opportunity Policy Statement and the following notices: EEOC Know Your Rights; Employee Rights and Responsibilities under the Family and Medical Leave Act; and Employee Polygraph Protection Act.