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Compliance advisor H/F

22 novembre England - Greater London, London CDI

Job Title: Compliance Advisor
Corporate Title: Associate
Division: DWS
Location: London

Overview:

The DWS Chief Control Office (CCO) comprises Compliance, Legal, Risk, Anti-Financial Crime and Legal Entity Management, and protects the integrity and reputation of DWS. CCO manage DWS's risks and help to avoid unintentional rule breaches and conflicts of interest. At the same time, they also advise on ethical conduct, governance issues and keeps our organisation up-to-date on regulatory and political challenges.

Key Responsibilities:

* Providing support to the relevant business areas to manage regulatory compliance risks
* Providing ad hoc advice on regulatory and general issues relating to a broad range of compliance-related issues, including in relation to AIFMD, UCITS and MiFID II rules
* Advising on governance and conduct related topics in respect of closed and open-ended fund structures and their management
* Supporting fund compliance and the development of products linked to traditional and alternative investment strategies including appropriateness, reputational risk and distribution considerations
* Maintaining current expertise in the regulatory environment and key developments and provide support in advising the DWS businesses and Compliance colleagues globally on applicable regulatory developments
* Keeping up-to-date of regulatory developments, how these affect DWS and partner with the business in implementing any amendments
* Assisting in performing compliance testing/ surveillance monitoring as per the compliance monitoring plan and assist in relation to United Kingdom (UK) elements of Compliance Testing's planning and execution delivery
* Supporting the wider DWS UK Compliance team with any projects or initiatives that arise
* Working effectively in a global team network and engaging colleagues throughout the team in DWS Compliance, other units of CCO
* Interacting with Legal and outside counsel to clarify regulatory and legal matters as required

Skills & Qualifications:

* Understanding of the asset management industry including in relation to funds
* Experience of building and managing good relationships with stakeholders across the business
* Team player with an ability to work to tight deadlines whilst achieving high quality outputs
* Post graduate or equivalent
* Relevant background in regulatory matters or having a professional qualification with experience/ knowledge of the asset management industry, financial markets and the current regulatory structure in Europe gained through some previous exposure and/or professional qualifications
* Structured and organised in approach, demonstrating a high level of diligence and attention to detail, coupled with an ability to ensure high quality and consistency in the deliverables produced
* Able to interpret, understand, advise upon and formulate an appropriate course of action on a broad range of regulatory provisions
* Able to analyse regulatory and reputational risk and where necessary escalate matters to the appropriate management level
* Excellent communication skills, both written and verbal, with strong attention to detail and an ability to grasp core issues quickly

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.

Please visit https://www.db.com/cr/en/our-people/diversity--management.htm to find out more about diversity and inclusion at Deutsche Bank

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