Client & Investment Monitoring Analyst

Role Overview: As a Client & Investment Monitoring Analyst within the Investment Guideline Management (IGM) team at DWS, you will be responsible for providing support to ensure compliance with federal security laws and client-specific instructions. Your role will involve post-trade monitoring of investment and trading activities, rule implementation, and assisting in compliance with the Investment Company Act of 1940 and fund restrictions for institutional clients managed by the firm. Key Responsibilities: - Work with institutional advisory services, retail mutual funds, alternatives, and other investment products to assist in the client onboarding process and updating client investment guidelines - Process and research daily alerts to determine if there are valid guideline breaches by reviewing investment management agreements and data from Order Management and accounting systems - Communicate investment guideline breaches to portfolio managers and log them into a central errors and breaches database - Monitor open breaches to ensure timely resolution and client account reimbursement when applicable - Perform manual monitoring for rules that cannot be systematically programmed into the system and resolve escalated business-specific issues - Interface with internal and external contacts to resolve process discrepancies, escalate aging issues, and provide written commentary on outstanding open issues representing risks - Build strong relationships with the business, understand their needs and operations, and ensure functions are performed in compliance with business and regulatory requirements - Participate in departmental projects, initiatives, and ad hoc tasks as required Qualifications Required: - 0-3 years of experience in Financial Services, Compliance, or Regulatory background preferred - Ability to multitask, work under pressure, and adhere to internal policies and procedures - Excellent Microsoft skills, especially in Word and Excel; knowledge of trading systems and project management skills are a plus - Ability to function effectively in a large team environment, make sound decisions, and handle sensitive information with discretion - Professional and articulate with excellent interpersonal, oral, and written communication skills - Good organizational skills, ability to prioritize work effectively, demonstrate flexibility in handling multiple tasks, and make timely decisions Additional Details: Unfortunately, there are no additional details about the company provided in the job description.,