Overview Deutsche Bank benefits from having a highly experienced and dedicated Anti Financial Crime (AFC) function, which performs a crucial role in keeping Deutsche Bank's business operations and global financial services clean from financial crime while serving the interests of the Bank and society. AFC helps Deutsche Bank generate long-term trust and add value for our clients, staff, and society and provide challenging opportunities for you to learn, contribute, and benefit from your journey with us. We foster an open and inclusive team culture with the aim to build and maintain a healthy, engaged, and well-supported diverse workforce that is equipped to do their best and enjoy their lives inside and outside the workplace, whilst applying the highest standards of conduct to guarantee Deutsche Bank's success in fighting financial crime. * Active engagement with the local community through Deutsche Bank's specialized employee groups * Support Deutsche Bank in protecting Deutsche Bank from legal, regulatory, and reputational risk regarding business involving sanctioned entities and/or countries * Accurately apply OFAC and EU regulations and Deutsche Bank policy to payment messages and coordinate significant issues requiring further escalation within Deutsche Bank Anti-Financial Crimes and across business and operations * Monitor the regulatory situation in the region, and assist in ensuring significant events impacting Deutsche Bank are addressed as need be * Interface with client service officers on transaction-related requests and decide on these in full compliance with all applicable sanctions regulations as well as the Deutsche Bank's policies and procedures$49k-70k yearly est.Easy Apply57d ago
AFC & Compliance Officer - Central Compliance
The DWS, AFC and Compliance officer provides professional, timely advice and guidance to business leaders in DWS, on specific functional compliance subject areas, ensuring adherence to DWS policy and relevant legal/regulatory frameworks. The compliance officer delivers appropriate products and solutions to meet the needs of DWS, and actively promotes and supports implementation of cross-divisional initiatives.$79k-135k yearly57d ago
AFC & Compliance Officer - Trade Surveillance
About DWS:
DWS Group (DWS) is one of the world's leading asset managers with EUR 833bn of assets under management (as of 30 June 2022). Building on more than 60 years of experience, it has a reputation for excellence in Germany, Europe, the Americas and Asia. DWS is 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 investment approach strategically.
DWS wants to innovate and shape the future of investing: with approximately 3,500 employees in offices all over the world, we are local while being one global team. We are investors - entrusted to build the best foundation for our clients' future.
Overview
DWS continues its journey as a publicly listed asset manager since its IPO and is in the process of establishing its own infrastructure and corporate functions, including Compliance and Anti-Financial Crime (AFC).
Your Key Responsibilities:
* Conduct daily surveillance of Firm trading activity to ensure compliance with firm policies and regulatory requirements
* Perform research and investigations to identify the reason for potential violations
* Document research results and escalate violations and/or suspicious activity according to firm policy and regulatory requirements
* Analyze, identify, and evaluate risk from multiple sources, including surveillance reports and internal audit reports
* Perform, in conjunction with the other members of Business Line Compliance staff, Senior Business Management, and other departments, quantitative and qualitative reviews of specific business areas
* Liaise with Information Technology and Senior Management in the development, review, and testing of new surveillance scenarios
* Monitor changes in securities regulations and industry technology to design and implement various policies and procedures
* Review and update desktop procedures
* Lead and support Surveillance projects including, but not limited to, the implementation of selected vendor platform
* Manage multiple, deadline-oriented tasks in a fast-paced environment
Your Skills & Experience:
* Bachelor's degree (prefer in Accounting, Business, Economics or Finance) or equivalent work experience
* FINRA Securities Industry Essentials (SIE) Exam or FINRA Series 7 (preferred)
* Previous relevant experience in Audit, Compliance/Regulatory, Financial Services, Risk or Surveillance (preferred)
* Previous relevant experience in User Acceptance Testing (preferred)
* Knowledge/experience with financial markets and an array of financial products (including stocks, bonds, equity/credit derivatives)
* Strong practical experience using of Microsoft Word, Excel, PowerPoint and SharePoint
Licenses Preferred:
* FINRA Securities Industry Essentials (SIE) Exam or FINRA Series 7
What we'll offer you:
A healthy, engaged and well-supported workforce are better equipped to do their best work and, more importantly, enjoy their lives inside and outside the workplace. That's why we are committed to providing an environment with your development and wellbeing at its center. You can expect:
* Competitive Salary and Matched 401K Savings Plan
* Generous Paid Time Away plus Bank Holidays
* Health and Life Insurance Plans for you and your family
* Work/Life Balance Programs including Adoption/Surrogacy/Infertility Assistance, Backup Care through Bright Horizons, Phase Back to Work and Support for New Mothers
* A range of flexible benefits including Retail Discounts, Commuter Discounts and Gym benefits
* The opportunity to support wide-ranging volunteer programs, + 1 day volunteering leave per year, matched personal donations to non-profit organizations dollar-for-dollar, up to $5,000
How we'll support you:
* Training and development to help you excel in your career
* Flexible working to assist you balance your personal priorities
* Coaching and support from experts in your team
Expectations
It is DWS's expectation that employees hired into this role will work in the Jacksonville office in accordance with the firm's hybrid working model.
DWS provides reasonable accommodations to candidates and employees with a substantiated need based on disability and/or religion.
DWS Values & Diversity
We believe talent is found in all cultures, countries, races, ethnicities, genders, sexual orientations, disabilities, beliefs, generations, backgrounds and experiences. We pursue a working environment where everyone can be authentic and feel a sense of belonging. Click here to find out more about our diversity and inclusion efforts.
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
Privacy Statement
The California Consumer Privacy Act outlines how companies can use personal information. Click here to view DWS' Privacy Notice.
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 our diversity and inclusion policy and initiatives.
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.$49k-70k yearly est.57d ago
Sr. Compliance Officer - Compliance Testing
The Senior Compliance Officer will support our culture of compliance while supporting our mission of helping DWS grow and service our clients. In addition, the Senior Compliance Officer will:$117k-189k yearly39d ago
Senior Alternatives Compliance Officer
The Senior Compliance Officer will support the Illiquids Alternative business in the Americas and provide guidance relating to Illiquid products. The Senior Compliance Officer will support our culture of compliance while supporting our mission of helping DWS grow and service our clients. In addition, the Senior Compliance Officer will:$117k-200k yearly57d ago
AFC & Compliance Officer
About DWS:
DWS Group (DWS) is one of the world's leading asset managers with EUR 833bn of assets under management (as of 30 September 2022). Building on more than 60 years of experience, it has a reputation for excellence in Germany, Europe, the Americas and Asia. DWS is 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 investment approach strategically.
DWS wants to innovate and shape the future of investing: with approximately 3,900 employees in offices all over the world, we are local while being one global team. We are investors - entrusted to build the best foundation for our clients' future.
Overview
DWS's Anti-financial Crime (AFC) and Compliance Testing team, a part of the AFC and Compliance Department, conducts reviews to evaluate the firm's compliance with applicable laws and regulations and to help ensure that control gaps are adequately escalated and mitigated through remedial actions.
Your Key Responsibilities:
* Conduct compliance reviews under the direction of the Americas Head of AFC and Compliance Testing in order to assess and review compliance with legal, regulatory and internal firm policy requirements applicable to DWS products and services in the Americas.
* Develop testing modules and conduct testing across all DWS Americas business activities to evaluate adherence to regulatory requirements and compliance risks
* Maintain solid working relationships with Business Line AFC and Compliance, Front Office, Operations, Group Audit, and other control groups throughout the region.
* Participate in developing a review work plan based on the results of the annual compliance risk assessment, in consultation with the Americas Head of AFC and Compliance Testing, Regulatory Adherence and Business Line AFC and Compliance management. Ensure review work plan addresses regulatory priorities and that reviews are designed to meet applicable regulatory guidance.
* Advise team members with respect to applicable regulatory requirements to ensure testing is adequately designed to identify potential control gaps and non-compliance with laws and regulations.
* Identify AFC and Compliance risks inherent in a business or process and assess whether a control framework is in place to manage these risks or whether any existing control framework adequately manages the risks.
* Determine the root cause of issues and develop effective remediation plans to mitigate the risks.
* Escalate potential issues and exception items noted during the review process to senior management for discussion and further investigation if deemed necessary.
* Prepare and distribute reports to senior management detailing review findings and recommendations. Periodically report on significant activities conducted and planned for the upcoming period.
* Ensure that all findings and recommendations are entered into AFC and Compliance Testing's Issue Tracker for tracking purposes and perform required follow-up of open issues to ensure proper resolution.
* Meet with senior management in AFC and Compliance, the business and other control functions to provide overview of significant risks and control gaps.
* Assist the team in drafting periodic reports to senior management and regulators, as well as in various other ad hoc projects.
* Some travel may be required
Your Skills & Experience:
* BA or BS Degree a must.
* JD, MBA or Master's Degree a plus.
* Strong knowledge of regulations governing financial institutions including the rules and regulations of the FRB, FINRA, SEC, NFA, and CFTC.
* Knowledge of asset management related products and services (e.g. broker dealer, investment advisory, fixed income and equities).
* A background in compliance testing, audit or risk is a strong plus.
* Strong business writing skills.
* Some travel may be required.
* Relevant experience with a financial services firm within Legal, AFC, Compliance, Operations or Audit and/or regulatory organization in a role that relates to financial services.
* Ability to understand and interpret various laws, regulations, and policies.
* Excellent interpersonal and communication skills with the ability to interact effectively with internal and external stakeholders, including regulators and senior management.
* Strong analytical and investigative skills.
* Strong problem solving skills including the ability to identify the root cause of issues.
* Strong organizational and project management skills and attention to detail.
* Ability to manage multiple compliance reviews and projects at the same time and meet timely deadlines.
* Ability to apply knowledge of regulations to numerous types of activities and operational arrangements in addition to interpreting the effect of new regulations on these activities.
What we'll offer you:
A healthy, engaged and well-supported workforce are better equipped to do their best work and, more importantly, enjoy their lives inside and outside the workplace. That's why we are committed to providing an environment with your development and wellbeing at its center. You can expect:
* Competitive Salary and Matched 401K Savings Plan
* Generous Paid Time Away plus Bank Holidays
* Health and Life Insurance Plans for you and your family
* Work/Life Balance Programs including Adoption/Surrogacy/Infertility Assistance, Backup Care through Bright Horizons, Phase Back to Work and Support for New Mothers
* A range of flexible benefits including Retail Discounts, Commuter Discounts and Gym benefits
* The opportunity to support wide-ranging volunteer programs, + 1 day volunteering leave per year, matched personal donations to non-profit organizations dollar-for-dollar, up to $5,000
How we'll support you:
* Training and development to help you excel in your career
* Flexible working to assist you balance your personal priorities
* Coaching and support from experts in your team
Expectations
It is DWS's expectation that employees hired into this role will work in the New York office in accordance with the firm's hybrid working model.
DWS provides reasonable accommodations to candidates and employees with a substantiated need based on disability and/or religion.
The salary range for this position in New York City/California is $78,750-$145,000. Actual salaries may be based on a number of factors including, but not limited to, a candidate's skill set, experience, education and other qualifications. Posted salary ranges do not include incentive compensation or any other type of remuneration.
DWS Values & Diversity
We believe talent is found in all cultures, countries, races, ethnicities, genders, sexual orientations, disabilities, beliefs, generations, backgrounds and experiences. We pursue a working environment where everyone can be authentic and feel a sense of belonging. Click here to find out more about our diversity and inclusion efforts.
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
Privacy Statement
The California Consumer Privacy Act outlines how companies can use personal information. Click here to view DWS' Privacy Notice.
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 our diversity and inclusion policy and initiatives.
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.$78.8k-145k yearly53d ago
Location Jacksonville, FL Expectations It is the Bank's expectation that employees hired into this role will work in the Jacksonville, Florida office in accordance with the Bank's hybrid working model.$49k-70k yearly est.Easy Apply57d ago
Location Jacksonville, FL Expectations It is the Bank's expectation that employees hired into this role will work in the Jacksonville, Florida office in accordance with the Bank's hybrid working model.$49k-70k yearly est.Easy Apply57d ago
Research Compliance - Vice President
Overview The Research Compliance role will be responsible for implementing and managing the compliance program for the Research businesses in Deutsche Bank's New York Office. * Active engagement with the local community through Deutsche Bank's specialized employee groups * Effective communication and ability to collaborate and partner with senior business management, supervision, and Compliance colleagues in other Deutsche Bank jurisdictions to address regulatory concerns$120k-200k yearly57d ago
Sanctions Compliance Officer, Investigations, Team Lead - Vice President
Overview Anti - Financial Crime (AFC) function, which performs a crucial role in keeping Deutsche Bank's business operations and global financial services clean from financial crime while serving the interests of the Bank and society.$79k-128k yearly est.Easy Apply57d ago
Compliance Team Lead for IPB Americas - Senior Compliance Officer - Vice President
Overview You will work in the Compliance Department to provide oversight of Deutsche Bank's International Private Bank (IPB) Americas as the senior business line compliance officer for Jacksonville operations. Deutsche Bank provides reasonable accommodations$79k-128k yearly est.Easy Apply57d ago
Control Testing & Assurance (CT&A) - Compliance Testing - Vice President
Overview Deutsche Bank's Compliance Testing Team, an assurance function within Control Testing & Assurance (CT&A), conducts testing on the design and operating effectiveness of the Businesses' control environment and adherence to applicable regulation and the Bank's policies.$120k-200k yearlyEasy Apply57d ago
Compliance Team Lead for IPB Americas - Senior Compliance Officer - Vice President
Overview You will work in the Compliance Department to provide oversight of Deutsche Bank's International Private Bank (IPB) Americas as the senior business line compliance officer for Jacksonville operations. Deutsche Bank provides reasonable accommodations$79k-128k yearly est.Easy Apply57d ago
Sanctions Compliance Officer, Investigations, Team Lead - Vice President
Overview Anti - Financial Crime (AFC) function, which performs a crucial role in keeping Deutsche Bank's business operations and global financial services clean from financial crime while serving the interests of the Bank and society.$79k-128k yearly est.Easy Apply57d ago
Control Testing & Assurance (CT&A) - Compliance Testing - Vice President
Overview Deutsche Bank's Compliance Testing Team, an assurance function within Control Testing & Assurance (CT&A), conducts testing on the design and operating effectiveness of the Businesses' control environment and adherence to applicable regulation and the Bank's policies.$120k-200k yearlyEasy Apply57d ago
Client Service officer
* Maintain and grow network within DB to adequately respond to client asks and issues$92k-127k yearly est.9d ago
