AFC & Compliance Analyst, NCT

Role Description

DWS wants to innovate and shape the future of investing. We recognize that each client has a unique set of financial objectives and goals. This is why our team of investment professionals partner with you to customize strategies aimed at delivering investment results, in both good and challenging times. With approximately 4,700 employees in offices all over the world, we are local while being one global team. We are committed to acting on behalf of our clients and investing with their best interests at heart so that they can reach their financial goals, no matter what the future holds. With our entrepreneurial, collaborative spirit, we work every day to deliver outstanding investment results, in both good and challenging times to build the best foundation for our clients financial future.

Compliance protects DWS by advising on ethical conduct, identifying regulatory solutions, safeguarding integrity, and reputation, and promoting, in partnership with the business, a culture of Compliance.

The team provides the following support:

The Berlin DWS Marketing Review Group(MRG) perform the review of marketing materials and communications to ensure that all relevant regulatory and internal requirements are met.

DWS Group (DWS) with EUR 963bn of assets under management (as of 30 September 2024) aspires to be one of the world's leading asset managers. 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 liquid and illiquid asset classes as well as solutions aligned to growth trends. Our diverse expertise in Active, Passive and Alternatives asset management 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, giving strategic guidance to our investment approach.

Your key responsibilities

• Review and provide feedback on German and English Marketing Materials sent from in-scope countries
• Review and analysis of low and or medium complex information such as brochures, pitchbooks and presentations with a product and other materials with a standard content produced on a regular basis to identify and assess potential violations of statutory provisions, legal regulations, fiduciary duties and or internal guidelines as well as decide to a limited scale how to proceed
• Provide Compliance Review System Tool user training to DWS employees
• Stay updated and informed on new policies, Key Operating Procedures related to controls on Marketing Materials
• Provide support to the business teams by answering general questions relating to policies referring to controls and reviewing of Marketing Material
• Support of implementation of DWS control projects

Your skills and experience

Education and Experience:

• University degree, preferably in Finance, Business, Accounting or Economics
• Several years of experience within the asset management or banking industry
• Compliance or transferable experience, e.g., Legal or Audit roles
• Experience in providing training for groups of colleagues, specifically in German/English

Competencies:

• Fluent German and English (written and spoken)
• Good command of Italian and/or Chinese would be a plus
• Proficiency with Microsoft Office, e.g., Microsoft Word, Excel, and PowerPoint
• Strong work ethic
• Strong communication, writing, analytical and organizational skills

Personal Characteristics:

• Strong team player skills as well as working independently
• High level of comfort dealing with different levels of management
• High level of comfort working on different tasks with conflicting deadlines at the same time
• Eagerness to learn and adapt to new situations
• Service oriented
• Strong culture carrier of DWS values and beliefs
• Should have a Can do decision making attitude and proactively looking for responsibility
• Flexibility with respect to new tasks and the ability to work properly in stressful situations.
• Ability to learn quickly.