Senior Compliance Officer - Trading/Portfolio Manager

Deutsche Bank•Jacksonville, FL

13d•$111,000 - $159,000•Hybrid

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. As a/an Senior Compliance Officer, you will (be): Partner with global business leaders in portfolio management, trading, operations, internal audit, technology and product teams, within our active and passive businesses to provide compliance support and advice to maintain a strong compliance program. Develop and maintain compliance policies and procedures to ensure compliance with federal securities laws, including the Investment Advisers Act of 1940, Investment Company Act of 1940 and Commodity Exchange Act. Conduct and provide oversight of the investment guideline monitoring process, client attestations, order management process, and trade execution. Maintain current expertise on the regulatory environment and provide guidance and analysis to the business on the implementation of new regulations with a strong focus on our risk control framework. Provide real-time analysis to ensure that any regulatory, client, service provider, compliance issue or concern is escalated, evaluated, investigated, and addressed in a timely manner. Stakeholder in new product offerings to ensure compliance with applicable policies and procedures and regulatory requirements as well as identifying and tracking conflicts of interests. A keen understanding of global trading activities and settlement methods on different product lines (equity/fixed income/commodities/cash equivalents/mutual fund-ETFs) as you will be the first point of contact for compliance advisory. Provide support to the wider AFC compliance team which includes colleagues from our AML-KYC, central, surveillance, marketing, compliance testing and employee compliance groups on various compliance initiatives. Assist in the audits, examinations, risk assessments and review of business controls to demonstrate compliance and applicability with federal securities laws. Assist in responding to due diligence questionnaires, marketing reviews, and requests for proposals. Participate in client due diligence meetings and conduct various compliance focused training.

Requirements

7+ years of investment advisory compliance experience, including experience supporting 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.
Experience with drafting and implementing policies and procedures.
Ability to anticipate, monitor and manage compliance risks resulting from various investment and distribution business activities.
Experience conducting risk assessments on portfolio management and trading risks topics.
Ability to work effectively with both senior and junior members of the firm in a global environment, leveraging and sharing best practices and insights of Legal and Compliance colleagues globally.
Strong strategic, proactive problem solving and analytical skills.
Exceptional communication skills paired with strong interpersonal abilities that enable you to collaborate and work on multiple projects in a fast-paced environment.
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.
Role may require work (emails/calls) outside of regular business hours on an as needed basis.

Nice To Haves

Experience with BlackRock Solutions Aladdin system a plus.
Knowledge of Department of Labor rules and regulations (e.g., ERISA, QPAM) a plus.

Responsibilities

Partner with global business leaders in portfolio management, trading, operations, internal audit, technology and product teams, within our active and passive businesses to provide compliance support and advice to maintain a strong compliance program.
Develop and maintain compliance policies and procedures to ensure compliance with federal securities laws, including the Investment Advisers Act of 1940, Investment Company Act of 1940 and Commodity Exchange Act.
Conduct and provide oversight of the investment guideline monitoring process, client attestations, order management process, and trade execution.
Maintain current expertise on the regulatory environment and provide guidance and analysis to the business on the implementation of new regulations with a strong focus on our risk control framework.
Provide real-time analysis to ensure that any regulatory, client, service provider, compliance issue or concern is escalated, evaluated, investigated, and addressed in a timely manner.
Stakeholder in new product offerings to ensure compliance with applicable policies and procedures and regulatory requirements as well as identifying and tracking conflicts of interests.
A keen understanding of global trading activities and settlement methods on different product lines (equity/fixed income/commodities/cash equivalents/mutual fund-ETFs) as you will be the first point of contact for compliance advisory.
Provide support to the wider AFC compliance team which includes colleagues from our AML-KYC, central, surveillance, marketing, compliance testing and employee compliance groups on various compliance initiatives.
Assist in the audits, examinations, risk assessments and review of business controls to demonstrate compliance and applicability with federal securities laws.
Assist in responding to due diligence questionnaires, marketing reviews, and requests for proposals.
Participate in client due diligence meetings and conduct various compliance focused training.