AFC & Compliance Officer at DWS Group

Seoul, , South Korea -

Full Time

Start Date

Immediate

Expiry Date

16 Jun, 26

Salary

0.0

Posted On

18 Mar, 26

Experience

2 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

AFC, Compliance, Regulatory Requirements Implementation, Regulatory Assessments, AML/KYC, NLS Alert Reviews, Transaction Surveillance, E-Comm Surveillance, Sanctions Inquiry Response, TPRM Process, Gift & Entertainment Pre-clearance, Personal Trading Pre-clearance, Compliance Monitoring, Conflicts of Interest Management, Information Protection, Employee Licensing

Industry

Financial Services

Description

Job Description: Employer: DWS Group Title: AFC & Compliance Officer Corporate Title: AVP Location: Seoul Job Code: #LI-ZL1 #LI-02 About DWS: Today, markets face a whole new set of pressures – but also a whole lot of opportunity too. Opportunity to innovate differently. Opportunity to invest responsibly. And opportunity to make change. Join us at DWS, and you can be part of an industry-leading firm with a global presence. You can lead ambitious opportunities and shape the future of investing. You can support our clients, local communities, and the environment. We’re looking for creative thinkers and innovators to join us as the world continues to transform. As whole markets change, one thing remains clear; our people always work together to capture the opportunities of tomorrow. That’s why we are ‘Investors for a new now’. As investors on behalf of our clients, it is our role to find investment solutions. Ensuring the best possible foundation for our clients’ financial future. And in return, we’ll give you the support and platform to develop new skills, make an impact and work alongside some of the industry’s greatest thought leaders. This is your chance to achieve your goals and lead an extraordinary career. This is your chance to invest in your future. Read more about DWS and who we are here. Team / division overview DWS Korea AFC & Compliance covers overall matters of AFC & Compliance for DWS Korea such as Business Line Compliance, Employee Compliance, Investment Guideline Coding and Monitoring, Transaction Surveillance, E-Comm Surveillance, and AML/KYC, NLS. Role Details As an AFC & Compliance Officer, you will be responsible for: AFC Implementing local regulatory requirements and guidelines Preparing and submitting regulatory assessments and reports to Korea FIU Reporting KoFIU’s AML assessment result to senior management Reviewing AML/KYC issues escalated to Business Line AFC and escalating further (as required) Performing Name List Screening (NLS) alert reviews Monitoring KYC Regular Reviews / Event Driven Reviews and reviewing relevant MIS from the Business Conducting the KYC QA Test Responding to ad-hoc Sanctions & Embargo Inquiry Advising on AFC matters in NPA and TPRM Process Pre-clearance of Gift & Entertainment requests Conducting periodic AFC risk assessment Compliance Monitor / assessment / implementation of regulatory developments/changes Performing business line Compliance functions Pre-clearance of personal trading requests Reviewing personal account holding and transaction details Encoding investment restrictions in trading system and monitoring system Conducting pre-trade and post-trade monitoring Preparing periodic Compliance reports to clients Conducting daily Portfolio trade surveillance Reviewing and approving Marketing Materials Identifying and managing breach / error cases Reviewing and monitoring Conflicts of Interest Ensuring information protection in accordance with regulatory requirements Performing annual Compliance Risk Assessment Others Preparation of AFC & Compliance materials for BOD and other internal committees/meetings Performing Employee licensing & registration Conducting daily E-Communication surveillance Review and update of AFC & Compliance Policies and Procedures We are looking for Knowledge and experience in asset management business Experiences in financial Industry in Compliance field preferably 3 years or above Ability to communicate clearly and effectively Teamwork and good communication skills Proficiency in written and verbal English What we’ll offer you: At DWS we’re serious about diversity, equity and creating an inclusive culture where colleagues can be themselves and it’s important to us that you enjoy coming to work - feeling healthy, happy and rewarded. At DWS you’ll have access to a range of benefits including, but not limited, to the below: A hybrid working model, allowing for in-office / work from home flexibility, comprehensive leave policy, personal and volunteer days Competitive compensation packages including health and wellbeing benefits Access to best in class trainings, in role development and career progression opportunities If you require any adjustments or changes to be made to the interview process for any reason including, or related to a disability or long-term health condition, then please contact your recruiter and let them know what assistance you may need. Examples of adjustments include providing a change to the format of the interview, or providing assistance when at the DWS office. This will not affect your application and our recruitment team will discuss options with you We at DWS are committed to creating a diverse and inclusive workplace, one that embraces dialogue and diverse views, and treats everyone fairly to drive a high-performance culture. The value we create for our clients and investors is based on our ability to bring together various perspectives from all over the world and from different backgrounds. It is our experience that teams perform better and deliver improved outcomes when they are able to incorporate a wide range of perspectives. We call this #ConnectingTheDots. At DWS, we’re capturing the opportunities of tomorrow. You can be part of a leading, client-committed, global Asset Manager, making an impact on individuals, communities and the world. In an ever-changing landscape, markets face a new set of pressures – but here, we see the opportunity in challenges. Opportunity to invest responsibly; to create change. Whether it’s collaborating to discover innovative solutions or exploring your curiosity to develop new skills – at DWS, we support you to achieve your goals. As the world continues to evolve, we do too. Join us, and you can shape our transformation. You can collaborate with industry thought-leaders, gaining new and diverse perspectives. You can share ideas and be yourself. You can drive innovative and sustainable solutions that influence markets and behaviours for the better. This is your chance to lead an extraordinary career. This is your chance to invest in your future.

Responsibilities

The role involves implementing local regulatory requirements for Anti-Financial Crime (AFC) and Compliance, including preparing regulatory reports and managing AML/KYC processes. Responsibilities also cover monitoring employee compliance activities like personal trading, reviewing marketing materials, and conducting various surveillance tasks.