6 Employee Compliance Jobs

Position Overview Job Title: Team Lead - Senior Compliance Officer, VP Location: Pune, India Corporate Title: Vice President Role Description 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 r...

Additional Job Description Job Title: Team Lead - Senior Compliance Officer, VP Location: Pune, India Corporate Title: Vice President Role Description 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, on...

Role Overview: You will be a team member of the Employee Compliance Department in Central Compliance, focusing on reviewing, approving, and monitoring employee activities related to Personal Account dealing Trading, Outside Business Interests, Private Investments, Employee Trade Surveillance, and Consequence Management for APAC, Americas, and EMEA regions. Your role is crucial in upholding ethical conduct, identifying regulatory solutions, and promoting a culture of Compliance within the Bank. Key Responsibilities: - Gain hands-on experience in various processes of Employee Compliance including Personal Account dealing Trading, Outside Business Interests, Private Investments, Employee Trade ...

The role will play a key role in ensuring ethical business practices and employee compliance to code of conduct across the organization. You will be responsible for conducting investigations into allegations of misconduct as per the laid-out norms, internal policies, and corporate governance frameworks. Your duties will also include working on company-wide initiatives to enhance awareness, implement governance frameworks, and utilize technology-driven solutions for proactive risk detection and compliance monitoring. You will be responsible for conducting detailed, fair, and impartial investigations into various instances of COC violations including fraud, bribery, conflict of interest, data ...

You will be responsible for reviewing employee disclosures related to personal trading accounts and taking necessary actions such as setting up feeds, notifying account closures, and following up on outstanding items. This includes handling account onboarding formalities with employees and/or brokers, updating trackers to track volumes accurately, and ensuring completion of feed set-up consent formalities and managed account forms. You will also need to review post-trade exceptions to identify potential non-compliance issues, document findings, and disposition exceptions according to procedures and documentation standards. This will involve thorough analysis to ensure compliance with regulat...

Role & responsibilities: Assistance required with managing the Employee Compliance Operations and Policy and Advisory team in executing BAU Tasks, which includes: Reviewing Employee Disclosures: Examine employee disclosures of personal trading accounts and undertake necessary actions, such as initiating feed set-up formalities, account closure notifications, and performing routine follow-up on outstanding items. This includes account onboarding/set-up formalities with employees and/or brokers (e.g., completion of feed set-up consent formalities, managed account forms) and updating trackers to ensure accurate tracking of outstanding/in-progress volumes. Reviewing Post-Trade Exceptions: Identi...