Senior AFC & Compliance Officer

Position Overview

Employer:DWS Group

Title:Senior AFC & Compliance Officer

Job Code: #LI-ZL1 #LI-03

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.

Read more about DWS and who we are

Team Overview

The Business Advisory Anti-Financial Crime and Compliance team is comprised of three members. The incumbent reports directly to the Head of AFC & Compliance, Singapore.

Role Details

As a Senior AFC & Compliance Officer, you will be responsible for:

General

• Keep abreast with regulatory reforms that may impact the business, and provide proactive and timely identification, dissemination and advice of regulatory changes and associated risks.
• Provide guidance on proper applications and interpretation of laws and regulations applicable to the asset management activities.
• Review relevant MAS consultation papers, consider the impact to the business and collate and coordinate the submission of business comments (if any) to the regulator.
• Execute and maintain the compliance monitoring program to ensure regulatory risks are effectively monitored.
• Advise, review and monitor staff activities to comply with policies and procedures in accordance with regulatory requirements and internal guidelines for the business.
• Maintain registers, logs, manuals and supporting records.
• Provide induction training to new joiners and other ad-hoc training in relation to compliance matters or relevant procedures that impact the business as and when required.
• Advise and handle licensing related matters for staff and the business.
• Liaise with MAS and external regulatory authorities in Singapore and other countries where business entity has registered with the local authorities.
• Aid in the compiling of necessary management, compliance and regulatory reports and documents as assigned.
• Participate in regular meetings such as Singapore Country Oversight Management meeting and business division meeting.
• Assists in audits, investigations and quality assurance reviews as required.
• Support compliance related projects as assigned, for both Singapore and other regional offices / partake in group projects from time to time as necessary.

Sales and Marketing Compliance

• Review and conduct independent monitoring of marketing materials distributed to clients to ensure compliance with local advertisement rules, best practices and applicable internal and external requirements.
• Advise and monitor cross-border business issues.
• Review new products or business initiatives, including marketing materials and term sheets, to ensure regulatory compliance.

Investments Compliance

• Compliance monitoring of regulatory investment restrictions and guidelines and market conduct activities such as cross trading, best execution and fair allocation.
• Ensures that all property transactions, asset management actions, valuations, financing activities, and development decisions are carried out within fund mandates, regulator requirements, and proper governance standards. The focus is on protecting investors, maintaining valuation integrity, preventing conflicts of interest, ensuring lawful execution of real estate deals, and overseeing accurate reporting of property and portfolio performance.

We are looking for

• Minimum 6 - 8 years of relevant experience with at least 3 years in asset management compliance
• Minimum 2 years of experience in providing training to the new joiner
• Strong knowledge of SFA laws, rules and regulations relating to the regulated activities of fund management and dealing in capital market products as well as familiar with the FAA laws, rules and regulations
• In-depth knowledge of traditional investment asset management products, as well as alternative products specifically related to Real Estate Investment.
• Ability to demonstrate a high degree of initiative and a strong commitment to meeting deadlines
• Perform duties objectively and support sustainable growth in an independent manner
• Excellent organizational, prioritization and time management skills
• Chinese language capability is required to support the review of Chinese marketing materials,

What we'll offer you:

At DWS we're serious about diversity, equity and creating an inclusive culture where colleagues can be themselves and it's important to us that you enjoy coming to work - feeling healthy, happy and rewarded. At DWS you'll have access to a range of benefits including, but not limited, to the below:

• A hybrid working model, allowing for in-office / work from home flexibility, comprehensive leave policy, personal and volunteer days
• Competitive compensation packages including health and wellbeing benefits
• Access to best in class trainings, in role development and career progression opportunities

If you require any adjustments or changes to be made to the interview process for any reason including, or related to a disability or long-term health condition, then please contact your recruiter and let them know what assistance you may need. Examples of adjustments include providing a change to the format of the interview, or providing assistance when at the DWS office. This will not affect your application and our recruitment team will discuss options with you.

We strive for a in which we are empowered to excel together every day. This includes acting responsibly, thinking commercially, taking initiative and working collaboratively.
Together we share and celebrate the successes of our people. Together we are Deutsche Bank Group.
We welcome applications from all people and promote a positive, fair and inclusive work environment.