Employer: DWS Group
Do you have the right skills and experience for this role Read on to find out, and make your application.
Title: Surveillance Team Lead
Location: Jacksonville, FL
Job Code: #LI-LV2 #LI-02
About DWS:
Today, markets face a whole new set of pressures - but also a whole lot of opportunity too. Opportunity to innovate differently. Opportunity to invest responsibly. And opportunity to make change.
Join us at DWS, and you can be part of an industry-leading firm with a global presence. You can lead ambitious opportunities and shape the future of investing. You can support our clients, local communities, and the environment.
We're looking for creative thinkers and innovators to join us as the world continues to transform. As whole markets change, one thing remains clear; our people always work together to capture the opportunities of tomorrow. That's why we are 'Investors for a new now'.
This is your chance to invest in your future.
Team / Division Overview
The Team Lead AFC & Compliance position heads the DWS Surveillance Team and reports to the Regional Head of AFC & Compliance, Americas. The Team Lead AFC & Compliance position is responsible for controls of dedicated risks associated with institutional orders/trading, employee trading, and electronic communications.
Role Details
As a Team Lead AFC & Compliance, you will:
- Lead the team responsible for the Compliance Surveillance function in the Americas region which includes the monitoring of institutional orders/trading, electronic communications, and employee trading.
- Provide subject matter expertise on current and upcoming regulations relating to Trade Surveillance.
- Own control parameters designed to detect designated risk types including insider trading, market abuse, and fair allocation of client orders.
- Manage workload of staff responsible for the reviews which detect non-compliance with appropriate rules, regulations, and firm policies.
- Manage implementation of surveillance vendor solutions.
- Conduct annual risk assessments to ensure dedicated risk types are monitored per regulatory requirements and market best practices.
- Provide management information to relevant governance bodies and Senior Compliance Management.
- Contribute to projects and change initiatives as required.
- Provide training and guidance to team members including Quality Assurance reviews.
- Lead the development, enhancement, and implementation of effective procedures and strategic solutions.
- Document and submit case results to internal stakeholders, determining whether findings must be escalated to relevant internal groups or external regulatory bodies.
- Escalate current or emerging risks to Senior Compliance Management as required.
We are looking for:
- Advanced degree (Accounting, Business, Economics or Finance preferred) or equivalent work experience.
- Previous relevant experience in Surveillance, Audit, Compliance/Regulatory, Financial Services or Risk.
- Demonstrated expertise with financial services regulations, including SEC and FINRA rules and regulations.
- Strong knowledge of securities products and asset classes.
- Strong analytical skills, sound judgment, and strong attention to detail.
- Strong Microsoft Office skills (specifically Excel and PowerPoint).
- Ability to exercise independent, and informed judgment.
- Outstanding written and verbal communication skills.
- Able to meet deadlines and handle multiple matters simultaneously.
- Ability to collaborate with senior stakeholders and global colleagues across control functions.
- Previous relevant experience in the implementation of vendor solutions (preferred).
License(s) required:
- FINRA Securities Industry Essentials (SIE) Exam or FINRA Series 7 (preferred).
What we'll offer you:
At DWS we're serious about diversity, equity and creating an inclusive culture where colleagues can be themselves. We offer a range of benefits to create a personalized plan unique to your lifestyle.
Some of our core benefits:
- Competitive Salary and Matched 401K Savings Plan.
- Generous Paid Time Away plus Bank Holidays.
- Physical and Mental Health Well-Being benefits including Health & Life Insurance Plans.
- Family friendly benefits including generous parental leave packages.
- Opportunities to support our CSR strategy focused on combatting climate change & achieving social justice.
DWS' Hybrid Working model is designed to find the right balance between in-person collaboration and engagement in the office, and working from home.
If you require any adjustments or changes to be made to the interview process for any reason, please contact your recruiter.
We are an Equal Opportunity Employer - Veterans/Disabled and other protected categories.
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