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AFC & Compliance Officer – Central Compliance

Deutsche Bank

Deutsche Bank is a tech-driven provider of financial services, offering corporate, investment, private, retail, and asset management products on a global scale.

Job Description:

About DWS:

DWS Group (DWS) is one of the world’s leading asset managers with EUR 859bn of assets under management (as of 30 June 2021). Building on more than 60 years of experience, it has a reputation for excellence in Germany, Europe, the Americas and Asia. DWS is recognized by clients globally as a trusted source for integrated investment solutions, stability and innovation across a full spectrum of investment disciplines.

We offer individuals and institutions access to our strong investment capabilities across all major asset classes and solutions aligned to growth trends. Our diverse expertise in Active, Passive and Alternatives asset management – as well as our deep environmental, social and governance focus – complement each other when creating targeted solutions for our clients. Our expertise and on-the-ground-knowledge of our economists, research analysts and investment professionals are brought together in one consistent global CIO View, which guides our investment approach strategically.

DWS wants to innovate and shape the future of investing: with approximately 3,500 employees in offices all over the world, we are local while being one global team. We are investors – entrusted to build the best foundation for our clients’ future.

The DWS, AFC and Compliance officer provides professional, timely advice and guidance to business leaders in DWS, on specific functional compliance subject areas, ensuring adherence to DWS policy and relevant legal/regulatory frameworks. They may also have control function responsibility for defined topics. They collaborate with colleagues within their function, and more broadly, to senior management within Compliance. The compliance officer delivers appropriate products and solutions to meet the needs of DWS, and actively promotes and supports implementation of cross-divisional initiatives. Typically, they provide coverage for one or more teams within DWS, and have responsibility for advising on their area of functional expertise.

This role is located within the Central Compliance team of DWS AFC and Compliance with a primary focus on risk assessment, risk management & risk identification on a global level. In addition, the role will include participation in various projects and change initiatives within Central Compliance.

DWS continues its journey as a publicly listed asset manager since its IPO and is in the process of establishing its own infrastructure and corporate functions, including Compliance & AFC.

What we’ll offer you:

A healthy, engaged and well-supported workforce are better equipped to do their best work and, more importantly, enjoy their lives inside and outside the workplace. That’s why we are committed to providing an environment with your development and wellbeing at its center. You can expect:

  • Competitive Salary and Matched 401K Savings Plan
  • Generous Paid Time Away plus Bank Holidays
  • Health and Life Insurance Plans for you and your family
  • Work/Life Balance Programs including Adoption/Surrogacy/Infertility Assistance, Backup Care through Bright Horizons, Phase Back to Work and Support for New Mothers
  • A range of flexible benefits including Retail Discounts, Commuter Discounts and Gym benefits
  • The opportunity to support wide-ranging volunteer programs, + 1 day volunteering leave per year, matched personal donations to non-profit organizations dollar-for-dollar, up to $5,000

Your Key Responsibilities:

  • Organize and maintain methodology for periodic risk assessment on regional level working closely with the global risk assessment lead.
  • Identify & document risk exposure identified from periodic assessments.
  • Prepare high quality reports on risk exposure & mitigation measures for senior leadership, various governance fora and other stakeholders.
  • Act as main point of contact for local stakeholders including business line Compliance and AFC for guidance & questions around risk assessment.
  • Contribute to project and change initiatives.
  • Assess new and proposed regulations and impact to the business lines.
  • Prepare management reporting based on new/amended regulations.
  • Participate in global practice groups for risk assessments and regulatory developments in order to develop best practices across DWS AFC and Compliance.
  • Work with AFC & Compliance senior leadership to prepare and maintain periodic reporting to various governance fora.

Your Skills & Experience:

  • Knowledge of asset management industry and regulatory environment
  • Familiarity with regulations including IA Act of 1940, IC Act of 1940, FINRA regulations
  • Experience with periodic risk assessments in context of financial services company, preferably an asset manager
  • Strong organizational skills with ability to support multiple projects
  • Problem solving skills
  • Collaborative work style & communication skills
  • Degree in business, law or similar preferred

How we’ll support you:

  • Training and development to help you excel in your career
  • Flexible working to assist you balance your personal priorities
  • Coaching and support from experts in your team

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.

Click here to find out more about our diversity and inclusion policy and initiatives.

We are an Equal Opportunity Employer – Veterans/Disabled and other protected categories. Click these links to view the following notices: EEO is the Law poster and supplement; Employee Rights and Responsibilities under the Family and Medical Leave Act; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision.

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AFC & Compliance Officer – Central Compliance

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Deutsche Bank

Deutsche Bank is a tech-driven provider of financial services, offering corporate, investment, private, retail, and asset management products on a global scale.

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