Client & Investment Monitoring Analyst Investment Guideline Management

Job Title: Client & Investment Monitoring Analyst Investment Guideline Management (IGM)

Corporate Title: NCT

Location: Pune, India

Role Description

About DWS:

• Today, markets face a whole new set of pressures - but also a whole lot of opportunity too. Opportunity to innovate differently. Opportunity to invest responsibly. And opportunity to make change.
• Join us at DWS, and you can be part of an industry-leading firm with a global presence. You can lead ambitious opportunities and shape the future of investing. You can support our clients, local communities, and the environment.
• We're looking for creative thinkers and innovators to join us as the world continues to transform. As whole markets change, one thing remains clear; our people always work together to capture the opportunities of tomorrow. That's why we are 'Investors for a new now'.
• As investors on behalf of our clients, it is our role to find investment solutions. Ensuring the best possible foundation for our clients' financial future. And in return, we'll give you the support and platform to develop new skills, make an impact and work alongside some of the industry's greatest thought leaders. This is your chance to achieve your goals and lead an extraordinary career.
• This is your chance to invest in your future.

Team / division overview

• The potential candidate will be part of the Investment Guideline Management (IGM) team, within DWS. The team is responsible for providing on-going support to the DWS organization for rule implementation and post trade monitoring of investment and trading activities to ensure compliance with federal security laws and client specific instructions.
• The successful applicant will assist in ensuring compliance with the Investment Company Act of 1940 as well as specific fund restrictions for all institutional clients, proprietary/sub-advised Funds and ERISA clients that are managed by the firm.

Your key responsibilities

As a/an Investment Guideline Management Analyst you will (be):

• Work with and assist institutional advisory services, retail mutual funds, alternatives, and other investment products in parts of client on-boarding process and establishing and updating client investment guidelines
• Process and research daily alerts through a review of investment management agreements and data from Order Management and accounting systems to determine if alerts are 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 reimbursed for loses when applicable
• Perform manual monitoring for rules that cannot be systematically programmed into the system through a review of various ancillary reports/system
• Front-line resolution of escalated business specific issues across assigned project areas
• Interface with internal and external contacts for resolution of process discrepancies in a timely manner
• Monitor and escalate aging issues and unresolved disputes to local supervisors, also provide written commentary on outstanding open issues that represent risk including tasks not being performed as required
• Build a strong relationship with the business, understanding their needs and operations
• Understand business and regulatory requirements and ensure functions are being performed in those requirements
• Participate in Departmental projects, initiatives and ad hoc tasks as required

Your skills and experience

• 0-3 years of experience in the 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 (especially Word and Excel); knowledge of trading systems (i.e. Charles River, Blackrock- Aladdin etc.) and project management skills are a plus
• Ability to function effectively in a large team environment, ask questions and sound decision making skills
• Ability to handle sensitive materials and information with discretion
• Professional and articulate; excellent interpersonal skills
• Well developed oral and written communication skills
• Good organizational skills and ability to effectively prioritize work, demonstrating flexibility when handling multiple tasks and timely decision making