Investment Compliance Officer

| | | | --- | --- | | **Job ID:**R0262903 | Full/Part-Time: Full-time | | Regular/Temporary: Regular | Listed: 2023-03-24 | | Location: Jacksonville |

Position Overview

About DWS:

DWS Group (DWS) is one of the world's leading asset managers. 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 3,900 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.

Overview

Anti-Financial Crime (AFC) and Compliance protects the integrity and reputation of DWS. They manage the firm’s risks and help to avoid unintentional rule breaches and conflicts of interest. At the same time, they also advise us on ethical conduct and governance issues and keep our organization up-to-date on regulatory and political challenges.

We are seeking a highly motivated Compliance Officer to join our firm in our Jacksonville, FL or New York, NY office. You should have meaningful experience advising on the Investment Company Act of 1940, Investment Advisers Act of 1940, and Commodity Exchange Act, as well as SEC and CFTC

Your Key Responsibilities:

Compliance Officer is responsible for providing advisory Compliance support and oversight to the Liquids Team in DWS, which focus on the investments in fixed income and equity with a wide range of client type, include mutual funds, ETFs, SMAs and non-U.S. products.

The successful candidate will:

• Provide Compliance support and oversight to the Traditional business which offer investment solutions to institutional and retail clients through a variety of active and passive investment products;
• Provide real time compliance support to portfolio management teams, fixed income/equity traders and asset class based research analysts.
• Conduct independent reviews of the investment guideline monitoring process and trade execution.
• Maintain current expertise on the regulatory environment and provide advice to the business on the implementation of new regulations.
• Develop Compliance policies and provide annual and ad hoc training to the business.
• Support the business in developing appropriate controls and procedures to mitigate business and product specific risks.;
• Contribute to the development and perform monitoring/testing of the business’s controls.
• Provide regular reports to senior compliance management, including Chief Compliance Officers.

Your Skills & Experience:

• 2+ years of investment advisory compliance experience, including experience with portfolio management, trade execution and research.
• Minimum Bachelor's Degree in Business, Finance or related field required; JD or other advanced degree preferred.
• Knowledge of the Investment Company Act of 1940, Investment Advisers Act of 1940, Commodity Exchange Act and other regulations applicable to investment management operations.
• Ability to anticipate, monitor and manage compliance risks resulting from various investment and distribution business activities.
• Ability to work effectively in a global environment; leveraging and sharing best practices and insights of Legal and Compliance colleagues globally.
• Strong strategic, problem solving and analytical skills.
• People skills, leadership qualities and communication skills.
• Ability to work on multiple projects in a fast-paced environment.
• Independent Self-Starter – the ability to organize workload and meet deadlines, work independently and as part of a team

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

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

Expectations

It is DWS’s expectation that employees hired into this role will work in the Jacksonville office in accordance with the firm’s hybrid working model. 

DWS provides reasonable accommodations to candidates and employees with a substantiated need based on disability and/or religion.

DWS Values & Diversity

We believe talent is found in all cultures, countries, races, ethnicities, genders, sexual orientations, disabilities, beliefs, generations, backgrounds and experiences. We pursue a working environment where everyone can be authentic and feel a sense of belonging. Click here to find out more about our diversity and inclusion efforts.

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

Privacy Statement

The California Consumer Privacy Act outlines how companies can use personal information. Click here to view DWS’ Privacy Notice.

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 diversity and inclusion.

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.