Compliance Officer - Afc & Compliance Testing, Avp

Dnsdblookup

Pune, India
**
Afc and compliance testing
Financial institution regulations
Asset management products and services
** The Compliance Officer position at Dnsdblookup in Pune focuses on ensuring compliance with financial regulations and internal policies within the DWS Anti-financial Crime (AFC) and Compliance Testing team. The role requires strong analytical skills and experience in compliance within financial services, offering benefits such as comprehensive insurance and flexible leave policies. **

Job Summary

  • The Compliance Officer will support the Americas Head of AFC and Compliance Testing in performing reviews, tests, and branch inspections designed to provide assurance that the internal control framework is effective in mitigating AFC and Compliance risk within DWS in the Americas Region.
  • Perform AFC and Compliance reviews under the direction of the Americas Head of AFC and Compliance Testing to assess and review compliance with legal, regulatory, and internal firm policy requirements applicable to DWS products and services in the Americas.
  • 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).

Matching Summary

Match Score: 75

** The Compliance Officer position at Dnsdblookup in Pune focuses on ensuring compliance with financial regulations and internal policies within the DWS Anti-financial Crime (AFC) and Compliance Testing team. The role requires strong analytical skills and experience in compliance within financial services, offering benefits such as comprehensive insurance and flexible leave policies. **

Skills & Requirements

Must-have

  • AFC and Compliance Testing
  • Financial institution regulations
  • Asset management products and services
  • Compliance, Testing or Internal Audit experience
  • Analytical and investigative skills
  • Critical thinking and root cause analysis

Nice-to-have

  • Interpersonal and communication skills
  • Organizational and project management skills
  • Ability to manage multiple projects
  • Diverse and inclusive workplace culture

Key Requirements

  • BA or BS Degree necessary
  • JD or MBA a plus
  • Demonstrated strong knowledge of BSA, USA PATRIOT Act, sanctions
  • Demonstrated strong knowledge of FRB, FINRA, SEC, NFA, CFTC rules

Work Rights

Not specified

Tailored Resume

Cover Letter