Central Compliance U.S.

Job Title: Central Compliance U.S. (based in India), AVP

Location: Pune, India

Corporate Title: AVP

Role Description

Compliance protects the integrity and reputation of DWS. They manage the firm's risks and help to avoid regulatory breaches and conflicts of interest. At the same time, they also advise us on ethical conduct and governance issues and keep our organization up to date on regulatory challenges.

About DWS:

DWS Group (DWS) is 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 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 investment approach strategically.

DWS wants to innovate and shape the future of investing: with employees in offices all over the world, we are local while being one global team. We are investors – entrusted to build the best foundation for our clients' future.

What we'll offer you

As part of our flexible scheme, here are just some of the benefits that you'll enjoy

• Best in class leave policy
• Gender neutral parental leaves
• 100% reimbursement under childcare assistance benefit (gender neutral)
• Sponsorship for Industry relevant certifications and education
• Employee Assistance Program for you and your family members
• Comprehensive Hospitalization Insurance for you and your dependents
• Accident and Term life Insurance
• Complementary Health screening for 35 yrs. and above

Your key responsibilities

• Coordinate and track data needed for management information reports; support the creation of management information reports to legal entity boards and governance forums
• Build and maintain a comprehensive log of material AFC and Compliance matters, ensuring tracking and updates over time.
• Assist in completing client certifications, due diligence inquiries and requests for proposals (RFP); track past responses to client certifications
• Monitor and track overdue training; send reminders to employees to complete overdue training and escalate to supervisors
• Support training manager and subject matter experts in preparing training materials and coordinating classroom training sessions
• Review and enter customer complaints in necessary systems
• Assist in the coordination of regulatory filings 
• Support the collection of data for risk assessments for first and second line; create materials for presentation of risk assessments to business heads and COOs
• Perform other compliance-related responsibilities and special projects as needed

Your skills and experience

The successful candidate will possess the following skills and experience:

• Knowledge regarding investment adviser compliance and investment operations is preferred.
• Prior relevant work experience of 2-3 years.
• Minimum Bachelor's Degree in Business, Finance or related field required.
• Ability to work effectively in a global environment and collaborate with global colleagues, leveraging and sharing best practices and insights of Legal and Compliance colleagues globally.
• Strong strategic, problem solving and analytical skills. 
• People skills, leadership qualities and communication skills.
• Ability to work on multiple projects in a fast-paced environment.
• Proficient in MS Office (Excel, Word and Power Point) and general fluency in Sharepoint.
• Ability to work independently and as part of a team.

How we'll support you

• Training and development to help you excel in your career
• Coaching and support from experts in your team
• A culture of continuous learning to aid progression
• A range of flexible benefits that you can tailor to suit your needs

About us and our teams

Please visit our company website for further information:

We at DWS are committed to creating a diverse and inclusive workplace, one that embraces dialogue and diverse views, and treats everyone fairly to drive a high-performance culture. The value we create for our clients and investors is based on our ability to bring together various perspectives from all over the world and from different backgrounds. It is our experience that teams perform better and deliver improved outcomes when they are able to incorporate a wide range of perspectives. We call this #ConnectingTheDots.