DWS Group
Overview
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Client Service Analyst
role at
DWS Group . Position Overview: Analyst - Investment Guideline Management, located in Jacksonville, FL. The Investment Guideline Management (IGM) team provides ongoing support for rule implementation and post-trade monitoring of investment and trading activities to ensure compliance with federal securities laws and client-specific instructions, including the Investment Company Act of 1940 and fund restrictions for institutional clients, proprietary/sub-advised funds, and ERISA clients managed by the firm. Team / division: Investment Guideline Management (IGM) within DWS. The successful applicant will assist in ensuring compliance with applicable regulations and client-specific guidelines. Responsibilities
Work with and assist institutional advisory services, retail mutual funds, alternatives, and other investment products in parts of client onboarding and in establishing/updating client investment guidelines. Process and research daily alerts by reviewing investment management agreements and data from Order Management and accounting systems to determine if alerts indicate valid guideline breaches. Communicate investment guideline breaches to portfolio managers for validation. Log guideline breaches into a central errors and breaches database. Monitor that open breaches are closed/resolved in a timely manner and that client accounts are reimbursed for losses when applicable. Perform manual monitoring for rules not programmable into the system, reviewing various ancillary reports and systems. Front-line resolution of escalated business-specific issues across assigned project areas. Interface with internal and external contacts to resolve process discrepancies in a timely manner. Monitor and escalate aging issues and unresolved disputes to local supervisors; provide written commentary on outstanding issues that represent risk. Build strong relationships with the business, understanding their needs and operations; ensure functions meet business and regulatory requirements. Participate in departmental projects, initiatives, and ad hoc tasks as required. Qualifications
0-3 years of experience in Financial Services; Compliance/Regulatory background is preferred. Ability to multi-task and work under pressure while adhering to internal policies and procedures. Excellent Microsoft skills (Word and Excel); knowledge of trading systems (e.g., Charles River, BlackRock Aladdin) and project management skills are a plus. Ability to function effectively in a large team environment; strong questions and decision-making skills. Ability to handle sensitive materials and information with discretion. Professional and articulate; excellent interpersonal, oral, and written communication skills. Good organizational skills and ability to prioritize work, with flexibility to handle multiple tasks and timely decision making. What we’ll offer you
At DWS we’re committed to diversity, equity, and an inclusive culture. You’ll have access to a range of benefits to create a personalized plan. The salary range for this position in Jacksonville, FL is $53,000 to $73,000. Actual salaries may be based on factors including skill set, experience, education, location, and other qualifications. In addition, DWS offers benefits focused on physical, emotional, and financial wellness, work-life balance, and retirement planning. The company also provides a Hybrid Working model and adjustments to the interview process upon request. Privacy and equal opportunity statements apply. We welcome applications from all people and promote a positive, fair, and inclusive work environment. 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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Join to apply for the
Client Service Analyst
role at
DWS Group . Position Overview: Analyst - Investment Guideline Management, located in Jacksonville, FL. The Investment Guideline Management (IGM) team provides ongoing support for rule implementation and post-trade monitoring of investment and trading activities to ensure compliance with federal securities laws and client-specific instructions, including the Investment Company Act of 1940 and fund restrictions for institutional clients, proprietary/sub-advised funds, and ERISA clients managed by the firm. Team / division: Investment Guideline Management (IGM) within DWS. The successful applicant will assist in ensuring compliance with applicable regulations and client-specific guidelines. Responsibilities
Work with and assist institutional advisory services, retail mutual funds, alternatives, and other investment products in parts of client onboarding and in establishing/updating client investment guidelines. Process and research daily alerts by reviewing investment management agreements and data from Order Management and accounting systems to determine if alerts indicate valid guideline breaches. Communicate investment guideline breaches to portfolio managers for validation. Log guideline breaches into a central errors and breaches database. Monitor that open breaches are closed/resolved in a timely manner and that client accounts are reimbursed for losses when applicable. Perform manual monitoring for rules not programmable into the system, reviewing various ancillary reports and systems. Front-line resolution of escalated business-specific issues across assigned project areas. Interface with internal and external contacts to resolve process discrepancies in a timely manner. Monitor and escalate aging issues and unresolved disputes to local supervisors; provide written commentary on outstanding issues that represent risk. Build strong relationships with the business, understanding their needs and operations; ensure functions meet business and regulatory requirements. Participate in departmental projects, initiatives, and ad hoc tasks as required. Qualifications
0-3 years of experience in Financial Services; Compliance/Regulatory background is preferred. Ability to multi-task and work under pressure while adhering to internal policies and procedures. Excellent Microsoft skills (Word and Excel); knowledge of trading systems (e.g., Charles River, BlackRock Aladdin) and project management skills are a plus. Ability to function effectively in a large team environment; strong questions and decision-making skills. Ability to handle sensitive materials and information with discretion. Professional and articulate; excellent interpersonal, oral, and written communication skills. Good organizational skills and ability to prioritize work, with flexibility to handle multiple tasks and timely decision making. What we’ll offer you
At DWS we’re committed to diversity, equity, and an inclusive culture. You’ll have access to a range of benefits to create a personalized plan. The salary range for this position in Jacksonville, FL is $53,000 to $73,000. Actual salaries may be based on factors including skill set, experience, education, location, and other qualifications. In addition, DWS offers benefits focused on physical, emotional, and financial wellness, work-life balance, and retirement planning. The company also provides a Hybrid Working model and adjustments to the interview process upon request. Privacy and equal opportunity statements apply. We welcome applications from all people and promote a positive, fair, and inclusive work environment. 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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