Investment Guideline Management - Analyst Investment Guideline Management - Analyst …

Deutsche Bank
in Jacksonville, FL, United States
Permanent, Full time
Be the first to apply
Deutsche Bank
in Jacksonville, FL, United States
Permanent, Full time
Be the first to apply
Investment Guideline Management - Analyst
Position Overview

Job Title: Investment Guideline Management

Corporate Title: Analyst

Location: Jacksonville, FL

Business Description

DWS Group (DWS) is one of the world's leading asset managers with EUR 745bn of assets under management (as of June 2019). Building on more than 60 years of experience and a reputation for excellence in Germany and across Europe, DWS has come to be 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 strategic investment approach.

DWS wants to innovate and shape the future of investing: with staff from 35 nationalities, speaking more than 75 languages rooted in 22 countries, we are local while being one global team.


As the Investment Guideline Management Analyst you will be a part of the team responsible for providing on-going support to the DWS organization and monitoring investment and trading activity to ensure compliance with federal security laws and client specific instructions. You 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.

What We Offer You:

  • We offer competitive health and wellness benefits, empowering you to value life in and out of the office

  • On-site gym, cafeteria, health center, and communal meeting areas

  • Active engagement with the local community through DWS's specialized employee groups

  • An open seating environment that encourages networking and collaboration across functions and businesses

Your Key Responsibilities:

  • Work with and assist institutional advisory services, retail mutual funds, alternatives, hedge funds, and other investment products in parts of client on-boarding process and establishing and updating client investment guidelines

  • 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

  • Communicate investment guideline breaches to portfolio managers for validation

  • Log guideline breaches into a central errors and breaches database

  • Monitor that open breaches are closed/resolved in a timely manner and that client accounts are reimbursed for losses when applicable

  • Perform manual monitoring for rules that cannot be systematically programmed into the system through a review of various ancillary reports/system

Your Skills and Experience:

  • Bachelor's degree - preferably in Business, Finance, Accounting, Economics, or Legal related

  • Previous relevant experience in the Financial Services, Compliance/Regulatory background is preferred

  • Ability to multi-task and work under pressure, while adhering to internal policies and procedures

  • Excellent Microsoft skills (especially Word and Excel); knowledge of trading systems (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

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.

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