Electronic Communications & Trade Surveillance Officer (AVP) Jacksonville, 5201 Gate Parkway

Employer:             DWS Group

Title:                      Electronic Communications & Trade Surveillance (AFC & Compliance Officer (AVP) )

Location:               Jacksonville, FL

Job Code:              #LI-LV2 #LI-03

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’.

As investors on behalf of our clients, it is our role to find investment solutions. Ensuring the best possible foundation for our clients’ financial future. And in return, we’ll give you the support and platform to develop new skills, make an impact and work alongside some of the industry’s greatest thought leaders. This is your chance to achieve your goals and lead an extraordinary career.

This is your chance to invest in your future.

Read more about DWS and who we are here.

Team / Division Overview

As part of the DWS Chief Administration Office (CAO), the AFC & Compliance Officer position is responsible for conducting surveillance of electronic communications and trading activity of DWS Employees to detect potential insider trading, market abuse, and/or violations of the Firm’s Policies.

Role Details

As an AFC & Compliance Officer (Assistant Vice President) - Electronic Communications & Trade Surveillance, your key responsibilities are:

• Conduct daily surveillance of electronic communications and firm trading activity 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 electronic correspondence of DWS employees

• Liaise with Information Technology and Senior Management in the development, review, and testing of new and/or existing lexicons and firm trading controls

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

• Conduct ad-hoc Surveillance projects

• Manage multiple, deadline-oriented tasks in a fast-pace environment

• Escalate current or emerging risks to Senior Compliance Management as required in a timely fashion

We are looking for: 

• Bachelor’s degree (Accounting, Business, Economics or Finance preferred) or equivalent work experience

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

• Demonstrated expertise with financial services regulations including, but not limited to the Federal Reserve, SEC, and FINRA

• 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, with demonstrated ability to think analytically and strategically to solve problems and implement solutions

• Able to meet deadlines and handle multiple matters simultaneously

• Ability to collaborate with senior stakeholders and global colleagues across control functions and with the Business on key initiatives

• Fluency with a foreign language is a plus

License(s) required:

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

What we’ll offer you:

At DWS we’re serious about diversity, equity and creating an inclusive culture where colleagues can be themselves sand it’s important to us that you enjoy coming to work - feeling healthy, happy and rewarded. At DWS, you’ll have access to a range of benefits which you can choose from to create a personalized plan unique to your lifestyle. Whether you’re interested in healthcare, company perks, or are thinking about your retirement plan, there’s something for everyone.

The salary range for this position in Jacksonville, Florida is $63,000 to $106,000. 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 renumeration.

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 (but not limited to) Health & Life Insurance Plans and the support of trained Mental Health First Aiders

• Family friendly benefits including generous parental leave packages (supporting all variations of family set-ups), to healthcare plans and travel insurance

• The opportunity to support our CSR strategy which is focused on combatting climate change & achieving greater social justice. You can make donations to our partnered organizations or take part in corporate volunteering opportunities in your local communities by providing on hand support.

DWS’ Hybrid Working model is designed to find the right balance between in-person collaboration and engagement in the office, which is core to our working culture, and working from home. Each business group varies on the split between time spent in the office and at home, but this will be discussed and made clear as part of your application and interview process. We will continue to review and evolve our working environments and methods to ensure that we are working in the best way possible for our people.

If you require any adjustments or changes to be made to the interview process for any reason including, or related to a disability or long-term health condition, then please contact your recruiter and let them know what assistance you may need. Examples of adjustments include providing a change to the format of the interview, or providing assistance when at the DWS office. This will not affect your application and your recruitment team will discuss options with you. 

Privacy Statement

The California Consumer Privacy Act outlines how companies can use personal information. Click here to view DWS’ Privacy Notice.

We are an Equal Opportunity Employer - Veterans/Disabled and other protected categories. Click these links to view the following notices: EEOC Know Your Rights; Employee Rights and Responsibilities under the Family and Medical Leave Act; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision.