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Global Employee Compliance Associate – Licensing & Registration, AS
mid · Risk & Compliance
Job Description:
Job Title: Global Employee Compliance Associate
Location: Magarpatta, Pune, India
Corporate Title: Senior Analyst/ Associate
Role Description
- 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.
Team / division overview
- The Global Employee Compliance function is part of DWS’s Anti-Financial Crime & Compliance Division. We are further developing the newly established employee compliance function and safeguarding DWS from compliance issues in relation to licensing & registration, personal account dealing, outside business interest, other investments as well as further inside information and conflicts of interest related topics.
What we’ll offer you
As part of our flexible scheme, here are just some of the benefits that you’ll enjoy
- Best in class leave policy
- Gender neutral parental leaves
- 100% reimbursement under childcare assistance benefit (gender neutral)
- Sponsorship for Industry relevant certifications and education
- Employee Assistance Program for you and your family members
- Comprehensive Hospitalization Insurance for you and your dependents
- Accident and Term life Insurance
- Complementary Health screening for 35 yrs. and above
Your key responsibilities
As an Employee Compliance representative you will:
Monitor employee adherence to internal policies (e.g., trading, outside business activities, conflicts of interest)
- Support the building up of the global Licensing & Registration hub in Pune to support global teams.
- Support in global regulatory tasks within the area of Employee Compliance, attestations and conflicts of interest.
- Work on global and regional overarching topics and initiatives, including technology related projects.
- Identify and assess compliance and regulatory risks related to employee activities
- Review, validate and maintain employee compliance records, registrations, attestations and related documentation in line with internal standards and applicable regulatory expectations.
- Perform periodic monitoring, quality checks and exception follow-up to ensure timely completion of employee compliance obligations.
- Support management reporting by preparing accurate MI, dashboards, trackers and status updates for global and regional stakeholders.
- Liaise with employees, compliance teams, HR, legal, business stakeholders and external vendors or regulators, where required, to resolve queries and progress compliance matters.
- Contribute to process improvements, control enhancements, procedure documentation and automation opportunities within Employee Compliance.
Your skills and experience
- Experience of 3-6 years within Compliance
- Additional experience in Employee Compliance, Surveillance & Monitoring, Compliance Control Room or Anti-Financial Crime-related topics within a financial institution is a plus.
- Strong team player, with proven ability to work in a global team and drive results both collaboratively and independently
- Strong analytical, attention-to-detail skills and communication skills
- Good understanding of regulatory compliance concepts, employee dealing controls, licensing requirements, conflicts of interest and confidentiality expectations.
- Ability to manage multiple priorities, meet deadlines and maintain high-quality outputs in a control-focused environment.
- Proficiency in Microsoft Office applications, especially Excel and PowerPoint; experience with workflow, case management or compliance surveillance tools would be advantageous.
- Educated to degree level or with relevant industry experience
- Business fluent in written and spoken English
How we’ll support you
- Training and development to help you excel in your career
- Coaching and support from experts in your team
- A culture of continuous learning to aid progression
- A range of flexible benefits that you can tailor to suit your needs
https://www.db.com/company/company.html
We at DWS are committed to creating a diverse and inclusive workplace, one that embraces dialogue and diverse views, and treats everyone fairly to drive a high-performance culture. The value we create for our clients and investors is based on our ability to bring together various perspectives from all over the world and from different backgrounds. It is our experience that teams perform better and deliver improved outcomes when they are able to incorporate a wide range of perspectives. We call this #ConnectingTheDots.