Senior Analyst - Investment Guideline Management (Igm) - Americas

Position Overview
About DWS:
DWS Group (DWS) is one of the world's leading asset managers. Building on more than 60 years of experience, it has a reputation for excellence in Germany, Europe, the Americas and Asia. DWS is 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 investment approach strategically.
DWS wants to innovate and shape the future of investing: with approximately 3,900 employees in offices all over the world, we are local while being one global team. We are investors – entrusted to build the best foundation for our clients’ future.
About the team:
The potential candidate will be part of the Investment Guideline Management (IGM) team, within DWS. The team is responsible for providing on-going support to the DWS organization for rule implementation and post trade monitoring of investment and trading activities to ensure compliance with federal security laws and client specific instructions. The successful applicant 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.
Your Key Responsibilities:

• Work with and assist institutional advisory services, retail mutual funds, alternatives, and other investment products in parts of client on-boarding process and establishing and updating client investment guidelines
• 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
• Log guideline breaches into a central errors and breaches database
• Understand business and regulatory requirements and ensure functions are being performed in those requirements
• Participate in Departmental projects, initiatives and ad hoc tasks as required
• 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
• Interface with internal and external contacts for resolution of process discrepancies in a timely manner
• Front-line resolution of escalated business specific issues across assigned project areas
• Communicate investment guideline breaches to portfolio managers for validation
• 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
• Build a strong relationship with the business, understanding their needs and operations

Your Skills & Experience:

• 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
• Bachelor’s Degree required – preferred in Business Finance, Accounting, or Economics.
• Ability to multi-task and work under pressure, while adhering to internal policies and procedures
• 4-5 years of experience in the Financial Services, Compliance/Regulatory background is preferred
• Excellent Microsoft skills (especially Word and Excel); knowledge of trading systems (i.e. 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

What we’ll offer you:
A healthy, engaged and well-supported workforce are better equipped to do their best work and, more importantly, enjoy their lives inside and outside the workplace. That’s why we are committed to providing an environment with your development and wellbeing at its center. You can expect:

• Competitive Salary and Matched 401K Savings Plan
• Health and Life Insurance Plans for you and your family
• Generous Paid Time Away plus Bank Holidays
• The opportunity to support wide-ranging volunteer programs, + 1 day volunteering leave per year, matched personal donations to non-profit organizations dollar-for-dollar, up to $5,000
• Work/Life Balance Programs including Adoption/Surrogacy/Infertility Assistance, Backup Care through Bright Horizons, Phase Back to Work and Support for New Mothers
• A range of flexible benefits including Retail Discounts, Commuter Discounts and Gym benefits

How we’ll support you:

• Coaching and support from experts in your team
• Flexible working to assist you balance your personal priorities
• Training and development to help you excel in your career

Expectations
It is DWS’s expectation that employees hired into this role will work in the Jacksonville office in accordance with the firm’s hybrid working model.
DWS provides reasonable accommodations to candidates and employees with a substantiated need based on disability and/or religion.
DWS Values & Diversity
We believe talent is found in all cultures, countries, races, ethnicities, genders, sexual orientations, disabilities, beliefs, generations, backgrounds and experiences. We pursue a working environment where everyone can be authentic and feel a sense of belonging. Click here to find out more about our diversity and inclusion efforts.
We are an Equal Opportunity Employer - Veterans/Disabled and other protected categories.
Click these links to view the following notices: EEO is the Law poster and supplement ; Employee Rights and Responsibilities under the Family and Medical Leave Act ; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision
Privacy Statement
The California Consumer Privacy Act outlines how companies can use personal information. Click here to view DWS’ Privacy Notice.
Our values define the working environment we strive to create - diverse, supportive and welcoming of different views. We embrace a culture reflecting a variety of perspectives, insights and backgrounds to drive innovation. We build talented and diverse teams to drive business results and encourage our people to develop to their full potential. Talk to us about flexible work arrangements and other initiatives we offer.
We promote good working relationships and encourage high standards of conduct and work performance. We welcome applications from talented people from all cultures, countries, races, genders, sexual orientations, disabilities, beliefs and generations and are committed to providing a working environment free from harassment, discrimination and retaliation.
Click here to find out more about diversity and inclusion.
We are an Equal Opportunity Employer - Veterans/Disabled and other protected categories. Click these links to view the following notices: "EEO is the Law poster" and supplement ; Employee Rights and Responsibilities under the Family and Medical Leave Act ; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision .