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Analyst - Investment Guideline Management

Employer
Deutsche Bank
Location
Jacksonville, USA
Salary
Competitive
Closing date
Mar 28, 2024

View more

Job Function
Risk Management
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
Job Description:
Employer: DWS Group

Title: Analyst - Investment Guideline Management

Location: Jacksonville, FL

Job Code: #LI-SL1 #LI-01

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 here.

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.

Role Details

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
We are looking for
  • 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
What we'll offer you:

At DWS we're serious about diversity, equity and creating an inclusive culture where colleagues can be themselves sand 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 which you can choose from to create a personalised plan unique to your lifestyle. Whether you're interested in healthcare, company perks, or are thinking about your retirement plan, there's something for everyone.

Some of our core benefits:
  • Competitive Salary and Matched 401K Savings Plan
  • Generous Paid Time Away plus Bank Holidays
  • Physical and Mental Health Well-Being benefits including (but not limited to) Health & Life Insurance Plans and the support of trained Mental Health First Aiders
  • Family friendly benefits including generous parental leave packages (supporting all variations of family set-ups), to healthcare plans and travel insurance
  • The opportunity to support our CSR strategy which is focused on combatting climate change & achieving greater social justice. You can make donations to our partnered organizations or take part in corporate volunteering opportunities in your local communities by providing on hand support.
DWS' Hybrid Working model is designed to find the right balance between in-person collaboration and engagement in the office, which is core to our working culture, and working from home. Each business group varies on the split between time spent in the office and at home, but this will be discussed and made clear as part of your application and interview process. We will continue to review and evolve our working environments and methods to ensure that we are working in the best way possible for our people.

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 your recruitment team will discuss options with you.

Privacy Statement

The California Consumer Privacy Act outlines how companies can use personal information. Click here to view DWS' Privacy Notice.

Our values define the working environment we strive to create - diverse, supportive and welcoming of different views. We embrace a culture reflecting a variety of perspectives, insights and backgrounds to drive innovation. We build talented and diverse teams to drive business results and encourage our people to develop to their full potential. Talk to us about flexible work arrangements and other initiatives we offer.

We promote good working relationships and encourage high standards of conduct and work performance. We welcome applications from talented people from all cultures, countries, races, genders, sexual orientations, disabilities, beliefs and generations and are committed to providing a working environment free from harassment, discrimination and retaliation.

Visit Inside Deutsche Bank to discover more about the culture of Deutsche Bank including Diversity, Equity & Inclusion, Leadership, Learning, Future of Work and more besides.

We are an Equal Opportunity Employer - Veterans/Disabled and other protected categories. Click these links to view the following notices: EEO is the Law poster and supplement ; Employee Rights and Responsibilities under the Family and Medical Leave Act ; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision .

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