Jobs via eFinancialCareers
Senior Compliance Officer - Trading/Portfolio Manager - Deutsche Bank
Jobs via eFinancialCareers, Florida, New York, United States
Role Overview
Senior Compliance Officer (Trading & Portfolio Management) at DWS Group in Jacksonville, FL.
Responsibilities
Partner with global business leaders in portfolio management, trading, operations, internal audit, technology and product teams to provide compliance support and 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.
Serve as the first point of contact for compliance advisory on global trading activities and settlement methods across equity, fixed income, commodities, cash equivalents and mutual fund‑ETFs.
Provide support to the AFC compliance team, including AML‑KYC, central, surveillance, marketing, compliance testing and employee compliance groups on various compliance initiatives.
Assist in audits, examinations, risk assessments and review of business controls to demonstrate compliance and applicability with federal securities laws.
Respond to due diligence questionnaires, marketing reviews and requests for proposals.
Participate in client due diligence meetings and conduct compliance focused training.
Qualifications
7+ years of investment advisory compliance experience supporting portfolio management, trade execution and research.
Minimum Bachelor’s Degree in Business, Finance or related field; JD or advanced degree preferred.
Knowledge of the Investment Company Act of 1940, Investment Advisers Act of 1940, Commodity Exchange Act and other applicable regulations.
Experience drafting and implementing policies and procedures.
Ability to anticipate, monitor and manage compliance risks resulting from investment and distribution activities.
Experience conducting risk assessments on portfolio management and trading risk topics.
Strong strategic, proactive problem‑solving and analytical skills.
Exceptional communication skills and interpersonal abilities.
Independent self‑starter with ability to organize workload, 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.
Qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, protected veteran status or other characteristics protected by law.
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Responsibilities
Partner with global business leaders in portfolio management, trading, operations, internal audit, technology and product teams to provide compliance support and 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.
Serve as the first point of contact for compliance advisory on global trading activities and settlement methods across equity, fixed income, commodities, cash equivalents and mutual fund‑ETFs.
Provide support to the AFC compliance team, including AML‑KYC, central, surveillance, marketing, compliance testing and employee compliance groups on various compliance initiatives.
Assist in audits, examinations, risk assessments and review of business controls to demonstrate compliance and applicability with federal securities laws.
Respond to due diligence questionnaires, marketing reviews and requests for proposals.
Participate in client due diligence meetings and conduct compliance focused training.
Qualifications
7+ years of investment advisory compliance experience supporting portfolio management, trade execution and research.
Minimum Bachelor’s Degree in Business, Finance or related field; JD or advanced degree preferred.
Knowledge of the Investment Company Act of 1940, Investment Advisers Act of 1940, Commodity Exchange Act and other applicable regulations.
Experience drafting and implementing policies and procedures.
Ability to anticipate, monitor and manage compliance risks resulting from investment and distribution activities.
Experience conducting risk assessments on portfolio management and trading risk topics.
Strong strategic, proactive problem‑solving and analytical skills.
Exceptional communication skills and interpersonal abilities.
Independent self‑starter with ability to organize workload, 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.
Qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, protected veteran status or other characteristics protected by law.
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