As Head of AFC & Compliance in Japan, you will manage the DWS Japan AFC & Compliance team, promoting a proactive Compliance culture and ethical standards through Compliance activities. You will be responsible for multiple local regulations, such as Personal information protection, Non-public information protection, Anti-Money Laundering, Customer Complaint handling, Conflict of Interest management. You will support employees and officers in conducting business activities based on high ethical standards and local & group policies. You will develop a Compliance program and establish a control system to identify issues through daily monitoring and take appropriate actions when legal violations are suspected. You will maintain a good relationship with regulators and ensure new regulations are appropriately enhanced in local policies. You will manage the conflict of interest and approve concurrent positions of employees and officers. You will oversee overall error handling and its remedies occurs in businesses. You will maintain good relationships with group Compliance located overseas and participate in local committees as a representative of DWS Japan AFC & Compliance. You will be responsible for people management of the team staff giving right coaching and advice. We are looking for a University or College Graduate with Certificate such as JSDA Internal Administrator, CFA, CPA. You must have minimum 10 years of working experience in Compliance of Foreign based Japan Asset Management Company. Experiences in head of Asset Management Compliance is preferable. Japan market and regulatory knowledge is essential. Knowledge in Asset Management business and fiduciary mind set is essential. Native Japanese and Business level English (both writing and verbal) are required. Microsoft Word/Excel/PowerPoint skills are essential. At DWS, we promote diversity, equity, and inclusivity. We offer a hybrid working model, comprehensive leave policy, personal and volunteer days, competitive compensation packages, access to best in class trainings, in-role development, and career progression opportunities. We welcome talented and diverse teams to drive business results and encourage our people to develop to their full potential. We promote good working relationships and encourage high standards of conduct and work performance.
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Chiyoda 0854 DWS Investments Japan Limited Full timeDescription · : Employer: DWS Group · Title: DWS Japan Country Head of AFC & Compliance · Location: Japan · Job Code: #LI-ZL1 #LI-04 · About DWS: · Today, markets face a whole new set of pressures – but also a whole lot of opportunity too. Opportunity to innovate different ...
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Chiyoda 0854 DWS Investments Japan Limited Full timeDescription · : Employer: DWS Group · Title: AFC & Compliance Officer · 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 ...
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