Surveillance Team Lead

Job Description:

Employer:             DWS Group

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’.

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

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/an Team Lead AFC & Compliance, you will (be):

• Leading Team responsible for the Compliance Surveillance function in the Americas region which includes the monitoring of institutional orders/trading, electronic communications, and employee trading

• Subject matter expertise of current and upcoming regulations relating to Trade Surveillance including the ownership of control parameters designed to detect designated risk types including, but not limited to, insider trading, market abuse, and fair allocation of client orders

• Subject matter expertise of current and upcoming regulations relating to Electronic Communications Surveillance including the ownership of lexicon policies designed to detect designated risk types including, but not limited to, insider trading, market abuse, and unauthorized communication channels

• 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, together with internal Compliance personnel and the Business, 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 as required including Quality Assurance reviews

• Lead the development, enhancement, and implementation of effective procedures and strategic solutions to adhere to one global platform

• Responsible for the documentation and submission of case results to internal stakeholders including 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 in a timely fashion

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

• Able to meet deadlines an