Overview

At Deutsche Bank, good compliance is everybody’s responsibility. The Compliance department’s core functions support good compliance practice to prevent and detect violations of all applicable laws, rules and principles that observe high standards of individual behaviour and business conduct.

Working closely with the business, compliance professionals ensure that our risk based programme is both globally effective and locally anchored to our key divisional businesses. As an independent and robust second level control function, the Compliance Department seeks to manage compliance risk and deepen the culture of compliance at Deutsche Bank through the development and management of strategies that are sustainable and increases the trust of our clients.

Key Responsibilities:

  • Conducting Communication Surveillance (E-comms & Voice) for APAC
  • Responding to escalations / referrals from Communication Surveillance
  • Deep Dives and Investigations using Communication and Trade Surveillance systems
  • Quality Assurance and documentation of Communication Surveillance process
  • Testing surveillance platform when new communication tools are on boarded
  • Weekly Communication Surveillance team meeting / Continuous Training & Development
  • Providing training to the Bangalore team
  • Assisting in the calibration of lexicons
  • Assisting in internal queries and audit requests

Skills & Qualifications:

Essential Skills & Competencies

  • Strong attention to detail, analytical skills and sound judgement
  • Ability to assimilate large amounts of data and have the focus to identify potential issues
  • Be able to multitask and work on multiple projects
  • Understand various Business area risks
  • Compliance and Regulatory awareness
  • Knowledge of applicable securities rules
  • Team player with ability to work independently
  • Proactive and enthusiastic

Education

  • Degree level

Language Skills

  • English – fluency in spoken and written

Technical Skills

  • Experience with using Surveillance tools (i.e. Actimize, NICE, HP Supervisor) and Bloomberg
  • MS Office

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