Alternatives Compliance Officer

Employer: DWS Group

Title: Senior Alternative Compliance Officer (Senior AFC & Compliance Officer)

Location: New York, New York

Job Code: #LI-LV2 #LI-02

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

DWS continues its journey as a publicly listed asset manager since its IPO and is in the process of establishing its own infrastructure and corporate functions, including AFC & Compliance. Within the CAO Division of DWS, The Business Line Compliance team is responsible for providing regulatory advice to their relevant business areas. They support the specific business area in accordance with respective processes and evaluate the adequacy and effectiveness of internal controls relating to risks within those areas. They focus on all non-financial risk categories of the stakeholders and have a deep knowledge of their coverage areas.

The Senior AFC & Compliance Officer will support the Illiquids Alternative business lines in the Americas and provide guidance relating to Illiquid products including Direct Real Estate, Infrastructure Debt and Private Credit. Along with supporting our culture of compliance while supporting our mission of helping DWS grow and service our clients .

Role Details

As a/an Senior AFC & Compliance Officer, you will (be):

• Provide guidance, advice and support to the Alternatives businesses as they execute their strategy.

• Develop compliance policies and procedures to ensure compliance with federal securities laws, including the Investment Advisers Act of 1940, Investment Company Act of 1940 and Commodity Exchange Act.

• Maintain current expertise on the regulatory environment and industry practice; provide advice to the business on the implementation of new regulations.

• Ensure that any compliance issues or concerns are appropriately escalated, evaluated, investigated, and addressed in a timely manner.

• Review and approve new product offerings to ensure compliance with applicable policies and procedures and regulatory requirements, as well as, identify and log any conflicts of interests.

• Conduct the annual risk assessments of the business's controls relating to compliance owned risk types.

• Monitor business owned controls and administer independent compliance controls to demonstrate compliance with firm policies and federal securities laws.

• Work closely with the senior management team in DWS Compliance on various global and regional projects and initiatives including, but not limited to, implementation of regulatory requirements; annual compliance and ad hoc training sessions; and coordination of the annual risk assessments process.

• Lead department-wide initiatives to ensure that best practices are shared and implemented within Business Line Compliance globally and across the business lines.

• Support the business in developing appropriate controls and procedures to mitigate business and product specific risks.

We are looking for:

• 7+ years of investment advisory compliance experience; expertise in Alternatives products including direct real estate, private credit and infrastructure products preferred.

• Minimum bachelor's degree in business, finance or related field required; JD or other advanced degree preferred.

• Previous relevant legal or compliance experience with knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940 and other regulations applicable to investment management operations.

• Ability to work effectively in a global environment, leveraging and sharing best practices and insights of Legal and Compliance colleagues globally.

• Strong strategic, problem solving and analytical skills.

• Strong people skills, leadership qualities and communication skills.

• Ability to work on multiple projects in a fast-paced environment.

• Independent Self-Starter - the ability to organize workload and meet deadlines, work independently and as part of a team.

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 personalized 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.

The salary range for this position in New York City is $117,000 to $206,000. Actual salaries may be based on a number of factors including, but not limited to, a candidate's skill set, experience, education, work location and other qualifications. Posted salary ranges do not include incentive compensation or any other type of renumeration.

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

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We are an Equal Opportunity Employer - Veterans/Disabled and other protected categories. Click these links to view the following notices:EEOC Know Your Rights;Employee Rights and Responsibilities under the Family and Medical Leave Act;Employee Polygraph Protection ActandPay Transparency Nondiscrimination Provision.