AFC & Compliance Officer

Employer: DWS Group

Title: AFC & Compliance Officer

Corporate Title: AVP

Location: Tokyo

Job Code: #LI-ZL1#LI-03

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 Japan AFC (Anti-Financial Crime) & Compliance is responsible for supporting DWS Japan businesses in conducting their business in full compliance with the Financial Instruments and Exchange Act of Japan, other relevant Japanese laws and regulations, and DWS Group policies, while maintaining the licenses required by the Financial Services Agency (FSA).

DWS Japan AFC & Compliance reports to the President locally and to the Head of APAC AFC & Compliance globally.

There are 4 team members under the Head of DWS Japan AFC & Compliance. The team covers the following tasks, including but not limited to:

- Business Advisory;

- Regulatory Filing and Registration;

- Regulatory Relationship Management;

- AFC & Compliance Training;

- Compliance Policy Maintenance;

- Regulatory Adherence processes;

- Electronic Communication Surveillance;

- Control Room (management of Material Non-Public Information);

- Oversight of Investment Guideline Monitoring (IGM); and

- AFC advisory and control activities (e.g., Anti-Money Laundering / Countering Terrorist Financing) .

How we’ll support you:

• Coaching and support from experts in your team
• A culture of continuous learning to aid progression
• Training and development to help you excel in your career

Your responsibilities

As an AFC & Compliance Officer, you will be responsible for:

• You will be responsible for regulatory filing and registration to multiple regulators to ensure those tasks are managed accurately and in a timely manner.
• You will monitor regulatory updates on the websites of multiple regulators and notify relevant departments in a timely manner.
• You will revise local policies and maintain local policies in an accurate and timely manner, working with the Global Policy Governance team.
• You will support AFC & Compliance training.
• You will support Investment Guidelines Monitoring activities and AFC related control activities.
• You will take part in global projects.
• You will support other AFC & Compliance activities, depending on your background, interests and career objectives.

We are looking for

• University or College Graduate. Relevant qualification such as the JSDA Internal Administrator, CFA, or CPA are preferred.
• At least five years of overall working experience in the Japanese financial industry (not limited to Asset Management).
• Regulatory reporting experiences in Compliance is preferred.
• Experience in Asset Management Operations, Internal Audit, Risk, Legal, Corporate Secretary or Compliance is preferred.
• Knowledge of the Japanese market and regulatory knowledge is essential.
• Knowledge of the Asset Management business is preferred.
• Native Japanese and Business-level English (both written and verbal)
• Microsoft Word/Excel/PowerPoint skills are essential.

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.