Compliance Alert Handling Analyst

Job description - the role

Our client, Deutsche Bank, is a global banking business with strong roots in Germany and operations in over 70 countries. Their large but focused footprint gives them an established position in Europe plus a significant presence in the Americas and Asia Pacific. Deutsche Bank offer their clients commercial and investment banking, retail banking and transaction banking as well as ground-breaking asset and wealth management products and services.

On behalf of Deutsche Bank, AMS are now looking for a Compliance Alert Handling Analyst to work in their Compliance Alert Handling team team based in Birmingham on a PAYE basis.

Overview:

The Compliance Alert Handling Analyst within the Compliance Alert Handling team is responsible for reviewing alerts generated by the Bank's UPTA (Unauthorised Principal Trading Activity ) Scorecard - an automated surveillance capability that assesses the activity, behaviour and operating circumstances of individual traders across a range of data sets to generate a UPTA Score. This is used to identify individuals and activity that may be deemed to be at higher risk of undertaking rogue trading (UPTA), so their activities can be investigated and/or monitored in more detail. Based on their analysis of an alert, the Compliance Alert Handling Analyst makes a recommendation to either close the alert or escalate it for further investigation.

Key responsibilities:

• Conducting the initial analysis stage of a UPTA Scorecard alert review. The initial analysis is primarily concerned with understanding the activity and/or circumstances that triggered the alert in order to determine if there is any indication of potential UPTA and/or circumstances that present a high risk of UPTA occurring.
• The initial analysis involves distilling the risk from the alert to discount any false positive signals and then attempting to "connect the dots" where the alert comprises breaches across different controls. The Analyst also reviews the trader's recent UPTA Score trend and case history.
• This may require the Analyst to engage directly with other teams across the Bank that operate UPTA relevant controls to better understand the rationale for control breaches or to validate operating circumstances.
• Completing the initial analysis stage without undue delay
• Documenting a report that describes the analysis performed and the rationale for the recommendation made.

Skills and Qualifications:

• A financial services background, ideally with experience in both front office and Infrastructure roles, particularly operations or business finance
• Experience working as an analyst in a surveillance or similar role ideal, but not necessarily required
• Good written communication skills and attention to detail
• Action oriented with a strong focus on completing tasks while working independently and with minimum direction
• Proactive in your approach to tasks and responsibilities

About the client

Deutsche Bank's Values:

Our values define the working environment we strive to create - diverse, supportive and welcoming of different views. We embrace a culture reflecting a variety of perspectives, insights and backgrounds to drive innovation. We build talented and diverse teams to drive business results and encourage our people to develop to their full potential. Talk to us about flexible work arrangements and other initiatives we offer.

We promote good working relationships and encourage high standards of conduct and work performance. We welcome applications from talented people from all cultures, countries, races, genders, sexual orientations, disabilities, beliefs, and generations and are committed to providing a working environment free from harassment, discrimination and retaliation.

Please note that for the duration of this assignment you will be working as an external resource engaged by AMS based on site at Deutsche Bank.

AMS's payroll service is in partnership with Giant, we have worked with them for many years and have good processes in place to ensure you get the best service. If you are successful in your application for this role, your contract will be via Giant.