Analyst - Employee Compliance Advisory
About The Position
Today, markets face a whole new set of pressures – but also a whole lot of opportunity too. Opportunity to innovate differently. Opportunity to invest responsibly. And opportunity to make change. Join us at DWS, and you can be part of an industry-leading firm with a global presence. You can lead ambitious opportunities and shape the future of investing. You can support our clients, local communities, and the environment. We’re looking for creative thinkers and innovators to join us as the world continues to transform. As whole markets change, one thing remains clear; our people always work together to capture the opportunities of tomorrow. That’s why we are ‘Investors for a new now’. As investors on behalf of our clients, it is our role to find investment solutions. Ensuring the best possible foundation for our clients’ financial future. And in return, we’ll give you the support and platform to develop new skills, make an impact and work alongside some of the industry’s greatest thought leaders. This is your chance to achieve your goals and lead an extraordinary career. This is your chance to invest in your future. Read more about DWS and who we are here. DWS continues its journey as a publicly listed asset manager since its IPO and has established its own infrastructure and corporate functions, including Compliance & AFC. This role is for position for all Employee Compliance related tasks. The role will accompany the initial set-up of processes, tools and the team. As a/an Employee Compliance Advisory Analyst, you will (be): Support the Employee Compliance function with DWS Compliance & AFC, including the definition of Employee Trading (including Code of Ethics and other regional requirements), Support the new Employee Compliance IT tool solution, including the definition of Compliance and AFC tool requirements, enhancements and testing Enforce global Employee Compliance processes and provide guidance for local requirements Support the regulatory change identification and implementation processes Provide training and guidance to team members as required Report to Senior Compliance Management Contribute to project and change initiatives
Requirements
- Experience in a team lead role within an asset manager or financial services company
- Knowledge of global regulations related to Employee Compliance
Nice To Haves
- Experience in working directly on Employee Compliance related tasks, such as PAD pre-clearing is a plus but not required
Responsibilities
- Support the Employee Compliance function with DWS Compliance & AFC, including the definition of Employee Trading (including Code of Ethics and other regional requirements)
- Support the new Employee Compliance IT tool solution, including the definition of Compliance and AFC tool requirements, enhancements and testing
- Enforce global Employee Compliance processes and provide guidance for local requirements
- Support the regulatory change identification and implementation processes
- Provide training and guidance to team members as required
- Report to Senior Compliance Management
- Contribute to project and change initiatives
Benefits
- At DWS you’ll have access to a range of benefits which you can choose from to create a personalized plan unique to your lifestyle.
- Whether you’re interested in healthcare, company perks, or are thinking about your retirement plan, there’s something for everyone.
- We provide access to physical, emotional, and financial wellness benefits that allow our colleagues to stay financially secure and strike balance between work and home.
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Education Level
No Education Listed
Number of Employees
5,001-10,000 employees
