Investment Guidelines Officer

Investment Guidelines Officer

Job ID: 3175299
Full/Part-Time: Full-time
Regular/Temporary: Regular
Listed: 2018-06-20
Location: Jacksonville, United States of America

DWS Group GmbH & Co. KGaA (DWS) is one of the world's leading asset managers with EUR 700bn of assets under management (as of 31 Dec 2017). Building on more than 60 years of experience and a reputation for excellence in Germany and across Europe, DWS has come to be recognized by clients globally as a trusted source for integrated investment solutions, stability and innovation across a full spectrum of investment disciplines.

We offer individuals and institutions access to our strong investment capabilities across all major asset classes and solutions aligned to growth trends. Our diverse expertise in Active, Passive and Alternatives asset management - as well as our deep environmental, social and governance focus - complement each other when creating targeted solutions for our clients. Our expertise and on-the-ground-knowledge of our economists, research analysts and investment professionals are brought together in one consistent global CIO View, which guides our strategic investment approach.

DWS wants to innovate and shape the future of investing: with staff from 35 nationalities, speaking more than 75 languages rooted in 22 countries, we are local while being one global team.

Position Overview

Job Title: Investment Guidelines Officer
Location: Jacksonville, FL

About Deutsche Bank

We are Germany's leading bank with strong positions in Europe and significant presence in the Americas and Asia Pacific. We're driving growth through our strong client franchise, investing heavily in digital technologies, prioritizing long-term success over short-term gains, and serving society with ambition and integrity. We serve our clients' real economic needs in commercial and investment banking, retail banking and transaction banking, and provide ground-breaking products and services in asset and wealth management. That means a career packed with opportunities to grow and the chance to shape the future of our clients.


DWS is one of the world's leading investment organizations. DWS helps individuals and institutions worldwide to protect and grow their wealth, offering traditional and alternative investments across all major asset classes.

Job Function

You will be part of Investment Guidelines, a department of DWS. The team is responsible for providing on-going support to the DWS organization and monitoring investment and trading activity to ensure compliance with federal securities laws and client specific instructions. You 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.

Daily responsibilities:

  • Work with and assist institutional advisory services, retail mutual funds, alternatives, hedge funds 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
  • Interface with internal and external contacts for resolution of process discrepancies in a timely manner
  • Perform guideline implementation and testing within the trading platform
  • 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

Essential Skills (incl. Technical/Software):
  • Previous 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 (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

Educational and Registration Requirements:
  • Bachelor's degree - preferred in Business, Finance, Accounting, Economics, Legal, or IT related

For candidates applying for positions in the US:

Deutsche Bank is an Equal Opportunity Employer - Veterans/Disabled and other protected categories. Click these links to view the "EEO is the Law" poster and pay transparency statement.

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