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Sr. Analyst - Compliance Board Reporting Job Details
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| Sr. Analyst - Compliance Board Reporting (Ref: 24547) | |
| Sector, Sub Sector: | Other |
| Compliance Type: | Regulatory/Compliance |
| Expertise: | - |
| Company: | Deutsche Bank |
| Location: | Jacksonville Americas, United States |
| Employment Type: | Permanent |
| Job Description: |
OVERVIEW: Investment Management Compliance (IMC) Reporting Group is responsible for providing on-going support to the DeAM organization and monitoring investment and trading activity to ensure compliance with the applicable laws. Assist in all aspects for the DWS Retail Fund Board as well as reviewing daily, monthly and quarterly surveillance reports to ensure compliance with the Investment Company Act, UCITS III, other regulations and internal limits with respect to institutional clients, proprietary/sub-advised retail funds and ERISA clients that are managed by the firm. Responsibilities: • 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 • Provide written commentary on outstanding open issues • 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 • Provide training and guidance to Process Specialists on the team • Participate in Departmental projects and initiatives Board Reporting and Surveillance work with and assist institutional advisory services, retail mutual funds, RREEF, hedge funds and other investment products in reviewing surveillance reports and preparing materials for the DWS Retail Board. review and research daily surveillance reports to determine if issues are valid communicate potential issues to internal clients for validation log breaches into the Exceptions Database monitor that breaches are closed/resolved in a timely manner and that client accounts reimbursed for loses when applicable prepare DWS Retail Board reports as required on a quarterly basis utilizing the existing applications and format General Within any retail mutual fund, separately managed account, ERISA account: interface with various business units to maintain compliance with policies and procedures as required other duties as required Position Requirements: • 2-3 relative compliance experience, including direct board reporting and surveillance experience • Bachelor’s Degree preferred in Business, Finance, Accounting or Economics • Strong Problem Solving and/or Analytical Skills • Proficiency in financial applications • Strong relationship abilities with internal departments • Excellent written and oral communication skills • Strong PC skills to include experience with MS Word, Excel and PowerPoint • Thoroughness and attention to detail • Ability to multi-task and work in a fast-paced environment • Ability to work in a team environment in order to achieve group targets • Excellent organizational skills • Ability to work well independently Deutsche Bank is an Equal Opportunity/Affirmative Action (M/F/D/V) employer. |
| Job Ref No: | 24547 |
