Compliance - (Senior) Surveillance Officer - Assistant Vice President

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • Deutsche Bank APAC
  • 16 Nov 18

Compliance - (Senior) Surveillance Officer - Assistant Vice President

Regulation, Compliance & Anti-Financial Crime

Regulation, Compliance and Anti-Financial Crime (AFC) protects the integrity and reputation of Deutsche Bank. It manages the Bank's risks and help to avert unintentional rule breaches and conflicts of interest. At the same time, we also advise the bank on ethical conduct and governance issues and keep the bank up to date on regulatory and political challenges.

Position Overview

Team Overview

In the APAC region, Surveillance team consists of teams of analysts and compliance officers located in Hong Kong, Singapore, Bangalore, Mumbai and Tokyo. The Hong Kong team coverage includes Equities, Listed Derivatives, Fixed Income and FX products, in addition to Communication Surveillance.

The person in Hong Kong will represent the Surveillance functions with primary focus on surveillance monitoring and testing on Equities, Listed Derivatives, Fixed Income and FX products.

We are looking for a high calibre candidate with strong quantitative background to help develop a more sophisticated surveillance platform and conduct in depth analysis of order and trade data with the aim to explain trading patterns and detect unusual trading behaviour.


  • Identify, investigate, recommend and help implement approaches for data analytics with regards to trading data.
  • Design data lake structure which could serve for multiple analytics demand
  • Develop various ad-hoc tools for data analytics and visualization
  • Focus on Trade Surveillance for APAC markets covering FX products
  • AM and WM Surveillance coverage
  • Support in Equities, Listed Derivatives, Fixed Income and Spot FX benchmark monitoring
  • Review alerts in Trade Surveillance systems (Smartsbroker & Actimize)
  • Participate in Communication and Trade Surveillance projects and UAT (user acceptance testing) of new Surveillance scenarios
  • Review, investigate and escalate irregularities and abnormal activities
  • Ensure escalated cases are followed up and documentations are updated in a timely manner
  • Conduct QA (Quality Assurance) of reviewed Communication and Trade Surveillance alerts and ensure appropriate QA documentation
  • Provide training to and partner with the Bangalore team on surveillance matters
  • Create MI Reports on a periodic basis to senior management
  • Provide support on any ad hoc Communication and Trade Surveillance tasks and requests


Essential Skills & Competencies
  • Financial Engineering or Quantitative Analyst background preferred
  • Strong attention to detail, analytical skills and sound judgement
  • Ability to assimilate large amounts of data and have the focus to identify potential issues
  • Be able to multitask and work on multiple projects
  • Compliance and Regulatory awareness
  • Knowledge of applicable securities rules advantageous
  • Team player with ability to work independently
  • Proactive and enthusiastic

Work Experience
  • Ideally experience in banking with Equities, Listed Derivatives, Fixed Income and FX products background
  • Experience in Surveillance and Compliance advantageous
  • Experience of Python, R, kdb/Q programming is a plus
  • Project and testing experience

  • Degree level

Language Skills
  • English – fluency in spoken and written
  • Cantonese / Mandarin – fluency in spoken and written preferred

Technical Skills
  • Experience with using Surveillance tools (i.e. Actimize, Smartsbroker etc) and Bloomberg is a plus
  • Proficiency in MS Office and VBA programming
  • Knowledge in machine learning (in particular Deep Learning and Natural Language Processing), portfolio optimization, econometrics, etc., would be extremely valuable

Deutsche Bank offers a challenging and rewarding career where your contribution is valued and rewarded. We have an inclusive and friendly working environment coupled with excellent facilities and benefits.

Deutsche Bank is an equal opportunity employer who seeks to recruit and appoint the best available person for a job regardless of marital status, sex (including pregnancy), age, religion, belief, race, nationality and ethnic or national origin, colour, sexual orientation or disability.