AFC & Compliance Officer

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.