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Senior Compliance Officer
2 months ago
About DWS Investment Management Americas, Inc.
DWS Investment Management Americas, Inc. is a leading investment management company that provides innovative investment solutions to clients around the world. We are committed to delivering exceptional investment performance and exceptional client service.
Job Summary
We are seeking a highly skilled and experienced Senior Compliance Officer to join our Institutional Sales Coverage team. The successful candidate will be responsible for providing compliance expertise and advice to business partners, developing and implementing compliance policies and procedures, and ensuring that our sales practices comply with relevant regulatory requirements.
Key Responsibilities
- Provide compliance expertise and advice to business partners, including developing and implementing compliance policies and procedures.
- Assist business partners in developing and updating written supervisory procedures to ensure compliance with relevant SEC, FINRA rules, federal securities and other applicable laws.
- Conduct annual risk assessments to identify potential risks and assist business managers in mitigating such risks.
- Develop and recommend workable action plans for correcting weaknesses identified in written supervisory procedures.
- Develop, implement, monitor and report on internal compliance systems and processes utilized for Coverage to ensure compliance with applicable SEC rules, FINRA rules, federal and state securities regulations and other applicable laws.
- Provide advice to the marketing review team on the review of broker-dealer and investment advisory materials; provide advice to the business on the creation and positioning of marketing materials.
- Provide analysis and guidance to Coverage regarding any cross-border solicitation activities regarding securities products and asset management services.
- Assist the CCO with conducting the Annual Certification of Compliance and Supervisory Processes requirements under FINRA Rule 3130.
- Provide analysis and guidance to Coverage regarding any potential lobbying activities.
- Assist the CCO in coordinating with the business managers to update and maintain broker-dealer's Form BD with FINRA.
- Assist the CCO with any regulatory examinations and inspections by FINRA or other SRO's.
- Conduct annual training, including the Annual Compliance Meeting and other ad hoc training.
- Manage the escalation of emails of Coverage team members and escalate to the CCO as appropriate.
- Lead projects related to new regulations as needed.
- Coordinate with central compliance functions to address internal client and Business Line Compliance needs.
- Actively participate in working groups, including leading working groups as necessary.
Requirements
- Bachelor's degree required.
- 5 to 7 years of compliance experience with experience as a Compliance Officer/Advisor for a broker dealer and/or registered investment advisor.
- Fluent in all FINRA and SEC issues and concerns.
- Demonstrated expertise with financial services regulatory schemes, including SEC and FINRA rules and regulations. Knowledge of securities products.
- Strong experience in sales practice compliance required; working knowledge of the Global Investment Performance Standards (GIPS) a plus.
- Experience reviewing marketing and advertising collateral in accordance with relevant FINRA and/or SEC regulations.
- Excellent analytical skills, sound judgment and strong attention to detail.
- Ability to exercise independent, and informed judgment.
- Outstanding written and verbal communication skills, with demonstrated ability to think analytically and strategically to solve problems and implement solutions.
- Able to meet deadlines and handle multiple matters simultaneously.
Preferred Qualifications
- Series 7 and 24 licenses preferred.
What We Offer
We offer a competitive salary and benefits package, including a matched 401K savings plan, generous paid time away, physical and mental health well-being benefits, family-friendly benefits, and the opportunity to support our CSR strategy.
Work Environment
We are committed to creating a diverse, supportive and welcoming work environment where colleagues can be themselves and thrive. We promote good working relationships and encourage high standards of conduct and work performance.
