Client Service Analyst

Deutsche Bank

99d • $53,000 - $73,000

About The Position

The potential candidate will be part of the Investment Guideline Management (IGM) team, within DWS. The team is responsible for providing on-going support to the DWS organization for rule implementation and post trade monitoring of investment and trading activities to ensure compliance with federal security laws and client specific instructions. The successful applicant will assist in ensuring compliance with the Investment Company Act of 1940 as well as specific fund restrictions for all institutional clients, proprietary/sub-advised Funds and ERISA clients that are managed by the firm.

Requirements

• 0-3 years of experience in the Financial Services, Compliance/Regulatory background is preferred
• Ability to multi-task and work under pressure, while adhering to internal policies and procedures
• Excellent Microsoft skills (especially Word and Excel); knowledge of trading systems (i.e. Charles River, Blackrock- Aladdin etc.) and project management skills are a plus
• Ability to function effectively in a large team environment, ask questions and sound decision making skills
• Ability to handle sensitive materials and information with discretion
• Professional and articulate; excellent interpersonal skills
• Well-developed oral and written communication skills
• Good organizational skills and ability to effectively prioritize work, demonstrating flexibility when handling multiple tasks and timely decision making

Responsibilities

• Work with and assist institutional advisory services, retail mutual funds, alternatives, and other investment products in parts of client on-boarding process and establishing and updating client investment guidelines
• Process and research daily alerts through a review of investment management agreements and data from Order Management and accounting systems to determine if alerts are valid guideline breaches
• Communicate investment guideline breaches to portfolio managers for validation
• Log guideline breaches into a central errors and breaches database
• Monitor that open breaches are closed/resolved in a timely manner and that client accounts reimbursed for loses when applicable
• Perform manual monitoring for rules that cannot be systematically programmed into the system through a review of various ancillary reports/system
• Front-line resolution of escalated business specific issues across assigned project areas
• Interface with internal and external contacts for resolution of process discrepancies in a timely manner
• Monitor and escalate aging issues and unresolved disputes to local supervisors, also provide written commentary on outstanding open issues that represent risk including tasks not being performed as required
• Build a strong relationship with the business, understanding their needs and operations
• Understand business and regulatory requirements and ensure functions are being performed in those requirements
• Participate in Departmental projects, initiatives and ad hoc tasks as required

Benefits

• Access to a range of benefits which you can choose from to create a personalized plan unique to your lifestyle
• Healthcare benefits
• Company perks
• Retirement plan options
• Physical, emotional, and financial wellness benefits

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: Bachelor's degree
• Number of Employees: 5,001-10,000 employees