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Job Description: 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 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 & Compliance is responsible for businesses in DWS Japan with FSA full licenses are in conducting on Japan FIEA and relevant Japanese laws and regulations as well as DWS group policies. DWS Japan AFC & Compliance is reporting to CEO in local organization and to head of APAC Compliance in global organization. There are 4 team members in DWS Japan Compliance, and each Compliance member is reporting to head of DWS Japan Compliance. Key roles of DWS Japan AFC & Compliance are the Advisory for the businesses (Liquidate Investment Managements, Alternative Investments, Retail & Institutional client departments, Product and planning departments) and relevant internal control departments as well as Compliance monitoring as a quality assurance function as 2nd line of defense. According to a resignation of head of Japan AFC & Compliance in March 2024, Compliance will hire a replacement of this position. Your responsibilities – As our Head of AFC & Compliance, you will: You are required to manage DWS Japan AFC & Compliance team as a Country AFC & Compliance head. You are FSA registered Compliance Officer who is responsible for a promotion of the establishment of a proactive Compliance culture and ethical standards thorough Compliance activities. FSA registered Compliance officer is responsible for multiple local Officer roles on local regulations, such as Personal information protection, Non-public information protection, Anti-Money Laundering, Customer Compliant handling, Conflict of Interest management. You support employees and officers in conducting business activities based on high ethical standard and local & group policies. You develop a Compliance program and establish a control system to identify the issues through a daily monitoring program for major risk items. You are required to take appropriate actions and escalations when legal violations are suspected, or risks may affect to company’s reputation. You maintain a good relationship with regulators. You are responsible for new regulations appropriately enhanced in the local policies. You manage the conflict of interests and approve the concurrent positions of employees and officers. You are responsible for Customer complaints and give a right instruction to employees and officers. You oversight overall error handling and its remedies occurs in businesses. You maintain good relationship with group Compliance located overseas. You are responsible for global projects as a head of Japan AFC & Compliance. You participate local committees, such as Risk Management committee/New Product Committee/Executive Committee/Board as a representative of DWS Japan AFC & Compliance. You are required a people management of the team staff giving a right coaching and advice. We are looking for University or College Graduate. A Certificate such as JSDA Internal Administrator, CFA, CPA is preferable. 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) Microsoft Word/Excel/PowerPoint skill is 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 Our values define the working environment we strive to create – diverse, supportive and welcoming of different views. We embrace a culture reflecting a variety of perspectives, insights and backgrounds to drive innovation. We build talented and diverse teams to drive business results and encourage our people to develop to their full potential. Talk to us about flexible work arrangements and other initiatives we offer. We promote good working relationships and encourage high standards of conduct and work performance. We welcome applications from talented people from all cultures, countries, races, genders, sexual orientations, disabilities, beliefs and generations and are committed to providing a working environment free from harassment, discrimination and retaliation. Our values define the working environment we strive to create – diverse, supportive and welcoming of different views. We embrace a culture reflecting a variety of perspectives, insights and backgrounds to drive innovation. We build talented and diverse teams to drive business results and encourage our people to develop to their full potential. Talk to us about flexible work arrangements and other initiatives we offer. We promote good working relationships and encourage high standards of conduct and work performance. We welcome applications from talented people from all cultures, countries, races, genders, sexual orientations, disabilities, beliefs and generations and are committed to providing a working environment free from harassment, discrimination and retaliation. Visit Inside Deutsche Bank to discover more about the culture of Deutsche Bank including Diversity, Equity & Inclusion, Leadership, Learning, Future of Work and more besides. Deutsche Bank provides commercial and investment banking, retail banking, transaction banking and asset and wealth management products and services to corporations, governments, institutional investors, small and medium-sized businesses, and private individuals. Deutsche Bank is Germany’s leading bank, with a strong position in Europe and a significant presence in the Americas and Asia Pacific
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Apply - DWS Japan Country Head of AFC & Compliance