New York, New York

Position Overview

Job Title: AFC and Compliance Officer

Location: New York, NY

Business Description

DWS Group (DWS) is one of the world's leading asset managers with EUR 859bn of assets under management (as of June 2021). 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.

Overview

This is an Anti-Financial Crime (AFC) and Compliance Officer position in DWS Business Line Compliance ("DWS Compliance"). The AFC and Compliance Officer will assist the Coverage Compliance team in developing and administering the policies and procedures of the Coverage (Sales) and Marketing businesses ("Coverage") in the sale and offer of mutual funds/ETFs through institutional financial intermediary channels as well as direct to the public and separately managed accounts and investment products direct to institutional investors.

What We Offer You:
  • We offer competitive health and wellness benefits, empowering you to value life in and out of the office
  • Retirement savings plans, parental leave, and other family-friendly programs
  • An environment that encourages networking and collaboration across functions and businesses
  • Active engagement with the local community through DWS's specialized employee groups


Your Key Responsibilities:
  • Provide compliance expertise and advice to business partners. Build consultative working relationships with business partners, helping them to meet their business objectives, while keeping the relevant registered entities in compliance
  • Assist business partners in developing and updating written supervisory procedures to ensure compliance with relevant SEC, FINRA rules, federal securities and other applicable laws
  • Assist in the annual risk assessment process to identify potential risks and assist the business managers in mitigating such risks
  • Develop and recommend workable action plans for correcting weaknesses identified in the written supervisory procedures
  • Develop, implement, monitor, and report on internal compliance systems and processes utilized for Coverage to ensure compliance with applicable SEC rules, FINRA rules, federal and state securities regulations, and other applicable laws
  • Provide advice to the marketing review team on the review of broker-dealer and investment advisory materials; provide advice to the business on the creation and positioning of marketing materials


Your Skills and Experience:
  • Bachelor's degree with previous relevant compliance experience as a Compliance Officer/Advisor for a broker dealer
  • Series 7 and 24 licenses preferred (or the ability to take and pass the exams within 9 months of hire)
  • Fluent in FINRA and SEC issues and concerns as it relates to broker dealer compliance - including licensing requirements and non-cash compensation
  • Demonstrated expertise with financial services regulatory environment, including SEC and FINRA rules and regulations. Knowledge of securities products
  • Experience in broker/dealer sales practice compliance required


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.

New York, New York

Our vision

We aspire to be the leading client-centric global universal bank

We serve shareholders best by putting our clients first and by building a global network of balanced businesses underpinned by strong capital and liquidity.

We value our German roots and remain dedicated to our global presence.

We commit to a culture that aligns risks and rewards, attracts and develops talented individuals, fosters teamwork and partnership and is sensitive to the society in which we operate.

Our values and beliefs

Integrity

  • We live by the highest standards of integrity in everything we say and do
  • We will do what is right – not just what is allowed
  • We communicate openly; we invite, provide and respect challenging views

Sustainable Performance

  • We drive value for shareholders by putting long-term success over short-term gain
  • We encourage entrepreneurial spirit which responsibly balances risk and returns
  • We pursue lasting performance by developing, nurturing and investing in the best talent and by managing based on merit

Client Centricity

  • We earn our clients’ trust by placing them at the core of our organization
  • We deliver true value by understanding and serving our clients’ needs best
  • We strive to pursue mutually beneficial client relationships in which the value created is shared fairly

Innovation

  • We foster innovation by valuing intellectual curiosity in our people
  • We enable our clients’ success by constantly seeking suitable solutions to their problems
  • We continuously improve our processes and platforms by embracing new and better ways of doing things

Discipline

  • We protect the firm’s resources by always thinking and acting like owners
  • We live by the rules and hold ourselves accountable to deliver on our promises – no excuses
  • We achieve operational excellence by striving to ‘get it right the first time’

Partnership

  • We build diverse teams to generate better ideas and reach more balanced decisions
  • We put the common goals of the firm before ‘silo’ loyalty by trusting, respecting and working with each other
  • We act as responsible partners with all our stakeholders and regulators, and in serving the wider interests of society

Our brand

Deutsche is clear: we are here to perform – in business and beyond. We do this with a unique mix of passion and precision. This measured approach gives us the confidence to enable agile minds to look beyond the obvious, gaining advantage for everyone we work with.

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