Senior Anti Financial Crime & Compliance Officer, Deutsche Bank
Investment bank and financial services company
Job no longer available
Investment bank and financial services company
1001+ employees
Job no longer available
1001+ employees
Company mission
To be the leading global provider of financial solutions for demanding clients, creating exceptional value for its shareholders and people.
Role
Who you are
- 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 the job involves
- The Senior 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
- The Senior Compliance Officer will support our culture of compliance while supporting our mission of helping DWS grow and service our clients
- Provide guidance, advice and support to the Alternatives business 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 assessment 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 assessment 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
Otta's take
Theo Margolius
COO of Otta
Despite its roots in the nineteenth century, Deutsche Bank has seen strategic transformation at countless stages to remain competitive. For example, it recently launched Vert, a new digital payments company for SMEs, in collaboration with Fiserv. As a result, the company successfully filled the gap in the market for a user-friendly, all in one solution which would enable merchants to accept payments and manage money.
The company continues to benefit from its scale and reputation. Despite ongoing criticisms, its strong European ties and a global network means Deutsche Bank is well placed to help clients navigate through geopolitical and macroeconomic shifts, something that can’t be said so confidently of its competitors. Today, it operates in circa 60 countries.
Moving forwards, the company is focused on aligning more closely to environmental, social and governance (ESG) criteria to facilitate over €500B in sustainable finance and investments between 2020 and 2025.
Insights
Some candidates hear
back within 2 weeks
11% employee growth in 12 months
Company
Company benefits
- Home office flexible work time
- Annual leave & more
- Support & Counselling
- Health insurance
- Health Check & Eye Test
- Sick pay
- Rewards and everyday benefits
- Pensions
Company values
- Integrity
- Sustainable Performance
- Client Centricity
- Innovation
- Discipline
- Partnership
Company HQ
Westend-Süd, Frankfurt, Germany
Founders
Christian Sewing
(CEO, not founder)Joined Deutsche Bank in 1989, serving in multiple positions including Chief Credit Officer. Became CEO in 2018.
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