DWS Mutual Fund Compliance - Associate
Position Overview Job Title:
DWS Mutual Fund Compliance Corporate Title:
Jacksonville, FL Business Description
DWS Group (DWS) is one of the world's leading asset managers with EUR 745bn of assets under management (as of June 2019). Building on more than 60 years of experience and a reputation for excellence in Germany and across Europe, DWS has come to be recognized by clients globally as a trusted source for integrated investment solutions, stability and innovation across a full spectrum of investment disciplines.
We offer professionals 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 strategic investment approach. DWS wants to innovate and shape the future of investing: with staff from 35 nationalities, speaking more than 75 languages rooted in 22 countries, we are local while being one global team. Overview
The Mutual Fund Compliance team is responsible for providing on-going Compliance support to the US mutual funds advised by the DWS organization. You will assist with the preparation of board materials for various Boards of US mutual funds and collective investment trusts and the review and analysis of various surveillance reports to ensure compliance with the applicable laws. What We Offer You:
Your Key Responsibilities:
- We offer competitive health and wellness benefits, empowering you to value life in and out of the office
- On-site gym, cafeteria, health center, and communal meeting areas
- Active engagement with the local community through DWS's specialized employee groups
- An open seating environment that encourages networking and collaboration across functions and businesses
Your Skills and Experience:
- Interface with internal and external contacts for resolution of process discrepancies in a timely manner
- Monitor and escalate aging issues and unresolved disputes to management
- Identify and escalate open issues that represent risk
- Build a strong relationship with the client, understanding their needs and business operations
- Understand business and regulatory requirements and ensure functions are being performed in those requirements
- Collection of quarterly certifications from service providers, escalation, tracking, and reporting of issues
- Bachelor's Degree, preferably in Business, Finance, Accounting, or Economics combined with at previous relevant finance industry experience; alternatively, previous relevant experience in the finance industry is required
- Knowledge of securities, financial instruments
- Familiarity with SEC regulations, including the Investment Advisers Act of 1940 and Investment Company Act of 1940
- Strong problem solving and/or analytical skills
- Strong PC skills to include experience with MS Word, Excel, and PowerPoint
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 diversity and inclusion.
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.