Financial Crime and Compliance Officer

Job Title:AFC & Compliance Officer (Associate / Analyst)
Location: London

DWS Group (DWS) is one of the world’s leading asset managers with EUR 821bn of assets under management (as of 31 December 2022). Building on more than 60 years of experience, it has a reputation for excellence in Germany, Europe, the Americas and Asia. DWS is recognised by clients globally as a trusted source for integrated investment solutions, stability and innovation across a full spectrum of investment disciplines.

The AFC & Compliance Department performs an independent 2nd level control function that protects DWS’ license to operate by promoting and enforcing compliance with the law and driving a culture of compliance and ethical conduct in the firm. The AFC & Compliance Department fulfils its role by assisting the Businesses and working with Infrastructure functions and regulators to establish and maintain a risk-based approach to the management of DWS’ AFC & Compliance Risks in accordance with the firm’s risk appetite statement and to help DWS detect, mitigate and prevent breaches of laws and regulations. The AFC & Compliance Department is part of the DWS Chief Administrative Office (CAO).

Your key responsibilities:

• Support regulatory change identification and implementation processes, and provide support in advising DWS Businesses, Infrastructure and Compliance colleagues globally on applicable UK regulatory developments.

• Support Traditional Asset Class business line compliance team with marketing materials/FinProms’ reviews and provide support to relevant Businesses and compliance teams to manage regulatory compliance risks.

• Ad hoc advice on regulatory and general issues relating to a broad range of compliance-related topics, including in relation to AIFMD, UCITS and MiFID II.

• Support the wider DWS UK AFC & Compliance team with any projects or initiatives that arise.

• Production of Management Information and Reporting to key internal Boards, Committees and Fora.

Your skills and experience:

• A candidate with relevant professional qualification or experience/knowledge of the asset management industry, financial markets and the current regulatory structure in UK and Europe gained through some previous exposure and/or professional qualifications.

• 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.

• In possession of excellent verbal and written communication skills with attention to detail and an ability to grasp core issues quickly.

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

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.