Compliance OfficerIII - New York

Compensation

: $165,260.00 - $165,260.00 /year *

Employment Type

: Full-Time

Industry

: Legal



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Job Title: Compliance Officer III
Job Location: NY, NY
Job Duration: 6 Months +Extention


Job Description:
Overview of Marketing Review Group (MRG):
  • The Marketing Review Group (MRG) is responsible for the review and approval of marketing material and communications for the DWS business. We complete the review and provide approval of all materials for consistency with internal firm policies and any applicable regulatory standards.
Key objectives/goals of MRG function:
  • Review and provide compliance guidance about the product marketing and training materials (including mutual funds, ETFs, separately managed accounts, private equity funds, private placements, retirement services, and any other new products) produced by the DWS business channels.
  • Act as subject matter expert regarding marketing and communications related regulatory guidelines (including Client, SEC, GIPS, etc).
  • Assist with developing, revising and implementing policies and procedures regarding marketing review activities and regulatory developments. Complete oversight of business units' compliance with marketing materials policies.
  • Monitoring all submissions of materials in timely fashion and ensure the quality and timing of reviews.
  • Complete and timely regulatory filing of materials with Client, and record keeping of such filings.
  • Special projects, maintain team updates for regular management reporting, maintain team review statistics, CRS (Compliance Review system) functionality and IT enhancements, cross training, resolve issues and provide solutions.
Daily responsibilities:
  • Complete review and provide approval of DWS communications material for consistency with internal firm policies and any applicable regulatory standards with a specific focus on Alternatives and/or other Institutional Products (SMAs, Private Placements, etc)
  • Provide support with reporting, record keeping, regulatory filings and work flow maintenance.
  • Additionally the role could require (not exhaustive)
  • Review and provide compliance guidance about the product marketing and training materials (including separately managed accounts, private equity funds, mutual funds, ETFs, retirement services, etc) produced by the DWS business channels.
  • Subject matter expert regarding marketing and communications related regulatory guidelines (including SEC, GIPS, Client, etc).
  • Assist with developing, revising and implementing policies and procedures regarding advertising review activities and regulatory developments. Complete oversight of business units' compliance with marketing materials policies.
  • Monitoring all submissions of material to ensure the quality of the submissions and balance work assignments of those materials to the overall team.
  • Special projects, maintain team updates for quarterly compliance report, maintain team review statistics, CRS functionality and enhancement issues.
Skills Required:
  • 5-7 years experience with marketing reviews and advertising material with a special focus on Institutional and Alternatives products.
  • Experience with and ability to handle a fast paced and demanding work environment is very important.
  • Ability to work independently and as part of a team.
  • Interpersonal skills to interface with various business units.
  • Strong analytical skills.
  • Strong attention to detail.
  • Strong project management skills.
  • Ability to communicate issues to senior management in an effective and succinct manner.
  • High proficiency in written and oral communication skills.
  • Strong practical experience using of Microsoft Word, Excel, PowerPoint and SharePoint.
  • Series 7 and 24 (required).
Education:
  • Bachelors degree

Associated topics: attorney, attorney corporate, compliance, corporate, corporate attorney, court, courtroom, internal, lawyer, legal affairs * The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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