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Primary responsibility will be to conduct Latin American Team email / communication surveillance and monitor for misleading statements, improper representation, misuse of client data, client complaints and other potential issues
Ensure compliance with all Bank and B/D policies and procedures
Proper escalation to Business Supervisory Office (BSO), Senior Management and Compliance of all serious matters
Maintain and enforce the Firm's policies and procedures per current Regulatory standards
Look for ways to enhance current controls and provide feedback for process enhancements
Assist with other regulatory projects from time to time for BSO group.
FINRA licenses: Series 7, 63/66 required, and 24 desired (or ability to pass S24 within 6 months)
Language skills– Fluent Spanish & Portuguese languages speaking and writing abilities are required; German language skills will be a big plus.
Strong verbal, interpersonal and communication skills
Must be detail oriented and have an analytical mindset with the ability to deliver key insights/solutions through 'out of the box' thinking
Well motivated and enthusiastic team player, able to work with others in a fast paced, dynamic financial environment
Escalate and highlight issues with excellent decision making skills
Deutsche Bank Wealth Management
With EUR 337 billion of asset under management (as of December 31, 2015), Deutsche Bank Wealth Management is one of the world's leading global wealth managers. Deutsche Bank Wealth Management offers high net worth clients a broad range of traditional and alternative investment solutions, providing a holistic service for all aspects of Wealth Management.
As a trusted partner of high net worth individuals and entrepreneurs, family offices and foundations, Deutsche Bank Wealth Management creates lasting value for clients. Leveraging its global network and expertise from across Deutsche Bank, it provides capital markets expertise and international solutions tailored to the individual needs of clients. These include wealth planning over generations and international borders, asset management with individual risk management, loans and deposits as well as the development of bespoke solutions for individuals or selected institutions in close collaboration with experts in Investment Banking and Asset Management.
Deutsche Bank Wealth Management is part of Deutsche Bank's Private, Wealth & Commercial Clients division and combines financial strength and stability with trustworthy partnership and forward-thinking in order to create lasting value for clients.