Posted on 2021-10-12

DWS - Senior AFC & Compliance Officer

Deutsche Bank


Your key responsibilities:

  • Provide compliance advice with regard to the applicable regulations of asset management business, internal policies and procedures and general issues relating to a broad range of compliance-related issues
  • Advise business in relation to the setup and maintenance of related controls to ensure compliance of various requirements.
  • Monitor regulatory developments applicable to the business and, working with relevant departments, ensure that appropriate impact assessment, gap analysis and implementation steps are carried out in a timely manner
  • Delivering materials and training on regulatory matters or developments in policies and procedures including induction training for new joiners and one to one training initiatives
  • Development of products linked to alternative investment strategies including appropriateness, reputational risk and distribution considerations
  • Fund and Trading compliance support
  • Advising on governance and conduct related topics in respect of closed- and open-ended
  • Perform periodic compliance risk assessments on DWS business activities
  • Participate in ad hoc Compliance projects as necessary
  • Investigate issues arising from compliance surveillance and testing efforts.

Your skills and experience:

  • Excellent knowledge of compliance in alternative funds, broader compliance, trading compliance and regulatory matters, with experience/ knowledge of the financial markets and the current regulatory structure in asset management in HK
  • Prior experience in Alternative Investment Fund, the distribution of such funds and knowledge of administering compliance controls for alternative asset classes (e.g. Sustainable Investment, Private equity, real estate)
  • Experience of building and managing relationships with senior stakeholders and an ability to influence senior stakeholders and colleagues
  • Ability to generate innovative ideas and challenge the status quo
  • Self-disciplined and have the ability to work under pressure and within tight deadlines with no loss of accuracy.
  • Proven analytical skills
  • Strong organizational skills, including an ability to prioritize effectively
  • A minimum of 6 - 8 years asset management Compliance with alternative asset classes (e.g. SI, Private equity, real estate) experience within a financial institution, regulator and/or similar environment.
  • Fluency in English and Mandarin is essential.

How we’ll support you:

  • A culture of continuous learning to aid progression
  • A range of flexible benefits that you can tailor to suit your needs
  • Training and development to help you excel in your career

Interested parties please click Apply Now to apply job.


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More job information
Job Function
Employment Term
  • Permanent
  • Full-time
  • 6 years - 8 years
Career Level
  • Non-management level
  • N/A