Compliance Officer Asset Management

Recruiter
Deutsche Bank
Location
Lambeth, UK
Salary
Competitive
Posted
15 Jul 2019
Closes
24 Jul 2019
Ref
1187317487
Sector
Accountancy
Contract Type
Permanent
Hours
Full Time
Compliance Officer Asset ManagementJob ID: 3193629Full/Part-Time: Full-timeRegular/Temporary: RegularListed: 2019-07-08Location: London, United Kingdom
DWS Group GmbH & Co. KGaA (DWS) is one of the world's leading asset managers with EUR 700bn of assets under management (as of 31 Dec 2017). Building on more than 60 years of experience and a reputation for excellence in Germany and across Europe, DWS has come to be 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 strategic investment approach.
DWS wants to innovate and shape the future of investing: with staff from 35 nationalities, speaking more than 75 languages rooted in 22 countries, we are local while being one global team.
Job Title: Compliance Officer
Corporate Title: Assistant Vice President
Division: DWS
Location: London
Overview
You'll be joining the DWS Chief Control Office (CCO). This comprises Compliance, Legal, Risk, Anti-Financial Crime and Legal Entity Management, and protects the integrity and reputation of DWS. CCO manage DWS's risks and help to avoid unintentional rule breaches and conflicts of interest. At the same time, they also advise on ethical conduct, governance issues and keeps our organisation up-to-date on regulatory and political challenges.
DWS is one of the world's leading investment organisations, offering individuals and institutions traditional and alternative investments across all major asset classes.
Key Responsibilities:
Providing support to the relevant business areas to manage regulatory compliance risks
Advising on regulatory and general issues relating to a broad range of compliance-related issues, including in relation to AIFMD, UCITS and MiFID II rules
Advising on governance and conduct related topics in respect of closed and open-ended fund structures and their management
Supporting Fund compliance and the development of products linked to traditional and alternative investment strategies including appropriateness, reputational risk and distribution considerations
Maintaining current expertise in the regulatory environment and key developments and provide support in advising the DWS businesses and Compliance colleagues globally on applicable regulatory developments
Keeping up-to-date of regulatory developments, how these affect DWS and partner with the business in implementing any amendments
Working in partnership with compliance advisory and the monitoring team to co-ordinate and perform compliance testing/ surveillance monitoring as per the compliance monitoring plan
Supporting the wider DWS United Kingdom Compliance team with any projects or initiatives that arise
Working effectively in a global team network and engaging colleagues throughout the team in DWS Compliance, other units of CCO and the Business to facilitate execution of goals, exchange of best practices, provide support and to maintain insight to the product and services offered to maintain a globally consistent approach
Interacting with Legal and outside counsel to clarify regulatory and legal matters as required
Skills & Qualifications:
Relevant experience of the asset management industry including in relation to UCITS and AIFMD products
Experience of building and managing good relationships with stakeholders across the business
Team player with an ability to work to tight deadlines whilst achieving high quality outputs
A positive, collaborative and flexible approach required to operate in a constantly changing environment
Structured and organised in approach, demonstrating a high level of diligence and attention to detail - ability to ensure high quality and consistency in the deliverables produced
Results orientated and ability to work in a fast-paced environment
Professional business attitude in the workplace
Flexible and adaptable to changes as necessary
Possess a proactive approach to projects and responsibilities
Decisive and action-oriented
Diversity, inclusion and mutual respect are essential elements of who we are. These values define the working environment we strive to create - engaging, supportive and welcoming of different views. We believe innovation stems from intellectual curiosity alongside the right mix of skills and talents. Therefore, we embrace a culture reflecting a variety of perspectives, insights and backgrounds. The company promotes equality of opportunity and encourages the development of all employees to their full potential. We are open to agile working arrangements - talk to us about flexibility and other initiatives we offer.
We are an equal opportunities employer who seeks to recruit and appoint the best available person for a job regardless of age, disability, gender reassignment, marriage or civil partnership, pregnancy or maternity, race (which includes colour, nationality and national or ethnic origins), religion or belief, sex or sexual orientation. We aim to treat all employees in a fair and consistent manner, promote good working relationships to encourage high standards of conduct and performance within a work environment free from harassment, bullying and discrimination.
Please let us know if you require any adjustments to enable you to apply or attend an interview. If you would like to discuss your requirements, or have any concerns about the application process, please contact your recruiter.Teilen

Similar jobs

Similar jobs