|
 |
|
|
| AM Advisory Compliance Officer |
|
 |
 |
|
 |
|
The role is to work in a team of 5 compliance staff who support the Deutsche Asset Management (“DeAM”) UK business areas, covering the Real Estate, Infrastructure, Private Equity, Real Estate Securities, Hedge Funds, Insurance, Fixed Income, Consultants, DWS sales and Structured Products business areas. A broad understanding of the principles of the Asset Management business, in particular alternative asset management strategies, and the risks and controls associated with them is required.
Key Responsibilities
As an Advisory Compliance team member you will:
• Oversee and project manage the carrying out of the UK Asset Management (AM) Compliance risk based thematic Monitoring Programme. This includes:
- providing regular reports (on a quarterly basis – or more frequently, if required) to Head of UK AM Compliance
- tracking and overseeing the completion of any action points arising out of monitoring;
- ensuring that the monitoring programme itself is maintained (managing the retiring of tests, the creation of new tests and amending tests, where appropriate)
• Creating a UK AM Compliance centre of expertise for fixed income, hedge funds and derivatives within AM;
• Being able to support the business by having a structural knowledge of open and closed end funds;
• Providing impact analysis and assist in providing practical solutions in respect of requirements arising from the implementation of MiFID/UCITS/AIFM and other EU directives and other regulatory developments, in respect of new and existing businesses.
• Representing Compliance to the business and providing appropriate advice with regard to regulations and compliance related matters;
• Be the global AM Compliance contact for Takeover Panel related matters and reviews.
• Liaise with colleagues, particularly, in Frankfurt/Europe and United States around new products, new business initiatives and regulatory changes which impact the AM business;
• Advise AM Compliance colleagues in other jurisdictions with regard to UK regulations and requirements;
• Obtain advice and guidance from Compliance colleagues in European jurisdictions regarding passporting or carrying out of AM business activities in European jurisdictions;
• Review marketing material/financial promotions/client communications and due diligence enquiries (Request For Proposals, DDQ’s);
• Provide compliance cover, when necessary, in respect of all areas of the UK AM business;
• Represent Compliance on Structured Product’s product governance committee, and being primary Compliance contact for the UK Structured Product business;
• Advising the business with regard to annual unbundling reports;
• Contribute to the development and build know-how within UK AM Compliance team; |
|
  |
|
 |
|
|
|
|
Bachelors
|
|
3 years + |
|
|
|
English : Speak / Write Fluently
|
|
|
|
open-ended |
|
|
|
unspecified |
|
|
|
EU National |
|
|
|
London |
|
|
|
 |
|
 |
|
|
• A high sense of Integrity
• Influencing skills
• Asset Management product knowledge
• Business Knowledge
• Compliance Knowledge
• Good Communication skills
• Strong writing and presentation skills
• Strong project skills and process skills
• Negotiation Skills
• Indepenent with an ability to take initiative
• Customer and services orientated
• Performance orientated
• A team Player |
|
|
|
Deutsche Bank is a leading global investment bank with a strong and profitable private clients franchise. Its businesses are mutually reinforcing. With 80,849 employees and about 2,000 branches in 72 countries, Deutsche Bank offers unparalleled financial services throughout the world. |
|
 |
|
|
Deutsche Bank
|
|
|
|
|
