Job Title: Compliance Advisor - Alternative investments Corporate Title: Vice President Division: DWS Location: London
Based in the Victoria office in London, the primary focus of the team is to provide Business Line Compliance advisory support to the Alternative businesses within Asset Management (AM). Reporting to the UK Head of Alternatives Compliance and working as a member of the AM United Kingdom (UK) Compliance team, the successful candidate will assist with providing compliance support to the Alternatives business in the UK and managing the UK Alternatives Compliance team.
Undertaking in reputational risk and distribution considerations regarding the development of products linked to alternative investment strategies
Funding compliance support
Advising on governance and conduct related topics in respect of closed- and open-ended fund structures
Providing Ad hoc advice on regulatory and general issues relating to a broad range of compliance-related issues, including in relation to AIFMD, UCITS and Market In Financial Instrumentals Directive (MiFID) II rules
Keeping up-to-date of regulatory developments, how these affect Asset Management and partner the business in implementing any amendments
Providing training on regulatory matters or developments in policies and procedures. This includes induction training for new joiners and one to one training initiatives;
Working effectively in a global team network and engage colleagues throughout the team in AM Compliance, other units of the Regulation, Compliance and Anti-Financial Crime and the Business to facilitate execution of goals, exchange of best practices, provide support and to maintain insight to the product and services offered to maintain a globally consistent approach
Maintaining current expertise in the regulatory environment and key developments and provide support in advising the AM businesses and Compliance colleagues globally on applicable regulatory developments.
Skills & Qualifications:
Working knowledge of compliance in alternative funds, and the asset management industry in general, broader compliance, and regulatory matters, with a postgraduate or professional qualification with experience/knowledge of the financial markets and the current regulatory structure in Europe gained through previous roles and/or professional qualifications.
Prior experience in Alternatives, AIFMD and the distribution of funds
Experience of building and managing relationships with senior stakeholders and an ability to influence senior stakeholders and colleagues
Ability to generate innovative ideas and challenge the status quo
An ability to work to tight deadlines whilst achieving high quality outputs
A positive, collaborative and flexible approach required to operate in a constantly changing environment
Structured and organised in approach, demonstrating a high level of diligence and attention to detail
Handling and managing a number of different projects simultaneously and pro-actively take them forward to resolution.
Ability to interpret, understand, advise upon and formulate an appropriate course of action on a broad range of legal and regulatory provisions.
Ability to analyse legal, regulatory and reputational risk and where necessary escalate matters to the appropriate management level.
Diversity, inclusion and mutual respect are essential elements of who we are. These values define the working environment we strive to create - engaging, supportive and welcoming of different views. We believe innovation stems from intellectual curiosity alongside the right mix of skills and talents. Therefore, we embrace a culture reflecting a variety of perspectives, insights and backgrounds. The company promotes equality of opportunity and encourages the development of all employees to their full potential. We are open to agile working arrangements - talk to us about flexibility and other initiatives we offer.
We are an equal opportunities employer who seeks to recruit and appoint the best available person for a job regardless of age, disability, gender reassignment, marriage or civil partnership, pregnancy or maternity, race (which includes colour, nationality and national or ethnic origins), religion or belief, sex or sexual orientation. We aim to treat all employees in a fair and consistent manner, promote good working relationships to encourage high standards of conduct and performance within a work environment free from harassment, bullying and discrimination.
Please let us know if you require any adjustments to enable you to apply or attend an interview. If you would like to discuss your requirements, or have any concerns about the application process, please contact your recruiter.
Internal Number: 5193716
About Deutsche Bank
eFinancialCareers is a career site specializing in financial services.