Client Due Diligence (KYC) Assurance Manager

Job description

Job Description: Employer: DWS Group Title: Client Due Diligence (KYC) Assurance Manager - Americas Location: Jacksonville, FL 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. Overview: As Client Due Diligence (KYC) Assurance Manager, you will act as an advocate for regulatory driven changes and represent the Client Due Diligence (CDD) team in front of senior stakeholders from the Business, Anti-Money Laundering (AML)/Compliance, and others. You will oversee the change agenda of the firm wrt AML and Sanctions related topics and help to organize a monthly Committee. As a CDD Subject Matter Expert (SME), you will be responsible for providing CDD/KYC training to different stakeholders within DWS. You will also advise on local regulatory requirements and market practices on Anti-Money Laundering (AML) and CDD topics, and assist in updating the respective procedures. The Assurance team will have a direct impact on the Firm’s ability to detect and avoid unnecessary financial crime risk. Your Key Responsibilities: Support Change Projects related to KYC and Sanctions & Embargoes, i.e. procedural and system updates within the KYC System Arranging of recurring Committees with relevant stakeholders from the firm Build and maintain a strong understanding of the relevant DWS and Deutsche Bank Group policies and regulatory environment to ensure all policies, procedures, and data sensitivity guidelines are followed and to the highest quality standards Perform gap assessment of revised policies and in updating the KYC Key Operating Document and KYC systems Conduct impact assessments to DWS client population based on changes to the Client Risk Rating Methodology Support the end-to-end management of the Name List Screening (NLS) process, including new source system set-up, handling of data quality issues, and ongoing NLS control execution Design and deliver KYC-related training to 1LoD Stakeholders Advise on local regulatory AML requirements and industry best-practices Cooperation and active communication with the Global CDD team on Global CDD Projects Your Skills and Experience: Strong Change Management skills/experience and technical acumen Financial services/banking experience, including KYC/Financial Crimes Compliance Asset Management experience, including Alternative Fund Investment Management strongly preferred Demonstrated experience designing and implementing enhancements to KYC platforms, including workflow optimization and integration of Policy/regulatory requirements Strong knowledge of end-to-end KYC and client on-boarding processes, including a thorough understanding of the Control, Compliance, and Investigation functions within the financial services industry Awareness and practical application of AML/KYC regulations and industry guidelines, including possible implications of sanctions for financial institutions The ability to utilize your own area of expertise and knowledge to contribute to improvements in operational processes and policies; combine subject matter expertise and be able to transfer knowledge to colleagues High quality educational background (university degree); CAMS designation or equivalent is desired What we’ll offer you: At DWS we’re serious about diversity, equity and creating an inclusive culture where colleagues can be themselves sand 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 which you can choose from to create a personalized plan unique to your lifestyle. Whether you’re interested in healthcare, company perks, or are thinking about your retirement plan, there’s something for everyone. The salary range for this position in Jacksonville, FL is $61,000 to $102,000. Actual salaries may be based on a number of factors including, but not limited to, a candidate’s skill set, experience, education, work location and other qualifications. Posted salary ranges do not include incentive compensation or any other type of renumeration. At DWS, we recognize that our benefit programs have a profound impact on our colleagues. That’s why we are focused on providing benefits and perks that enable our colleagues to live authenti­cally and be their whole selves, at every stage of life. We provide access to physical, emotional, and financial wellness benefits that allow our colleagues to stay financially secure and strike balance between work and home. Click here to learn more! DWS’ Hybrid Working model is designed to find the right balance between in-person collaboration and engagement in the office, which is core to our working culture, and working from home. Each business group varies on the split between time spent in the office and at home, but this will be discussed and made clear as part of your application and interview process. We will continue to review and evolve our working environments and methods to ensure that we are working in the best way possible for our people. 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 your recruitment team will discuss options with you. Privacy Statement The California Consumer Privacy Act outlines how companies can use personal information. Click here to view DWS’ Privacy Notice. 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. Qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, protected veteran status or other characteristics protected by law. Click these links to view Deutsche Bank’s Equal Opportunity Policy Statement and the following notices: EEOC Know Your Rights ; Employee Rights and Responsibilities under the Family and Medical Leave Act ; and Employee Polygraph Protection Act .