DWS AFC & Compliance Professional

Job Title

Job Title: DWS AFC Compliance Team (Data Analytics Monitoring)

Location

Mumbai, India

Corporate Title

AVP

Role Description

The AFC Compliance Data Analytics Monitoring team provides operational assurance and support to key control areas, including reviews of in-scope controls to ensure effectiveness, the calibration of configurable thresholds and parameters, and the maintenance of control effectiveness over time. It also covers the operational execution of Data Management topics for data deemed material to AFC Compliance processes (Material Data Scope). The team also supports Information Security topics for Compliance applications, working closely with application IATOs, Technology, CISO and application SMEs to ensure adherence to Information Security requirements.

Your key responsibilities

• Own and lead Compliance Calibration and Effectiveness control effectiveness reviews across the full review lifecycle, setting the review-specific strategy within the established programme operating framework; determining assurance objectives, evidential requirements, testing and validation approaches; and directing execution through to the delivery of defensible conclusions, proposed control-effectiveness ratings, recommendations where remediation is required, and final review outputs for formal management and stakeholder approval.
• Evaluate and determine control effectiveness through rigorous assessment of the relevant risks, control purpose, design, implementation and underlying rationale, applying professional judgement, purposeful enquiry, independent research and critical evaluation.
• Define and undertake proportionate control assessment, including determining the purpose, scope, evidential requirements and appropriate testing and analytical approaches; evaluating whether the evidence obtained is sufficient to support the conclusions reached; and maintaining a clear, complete and defensible record of the work performed and judgements reached.
• Apply a proactive and solutions-focused approach to resolving review matters, reducing complex topics to their essential components, developing reasoned positions and determining the appropriate route to resolution, progressing matters independently where possible without unnecessary delay, and involving appropriate stakeholders where focused input or decisions are required, with an assessment of the issue and a proposed route forward where possible.
• Lead review related stakeholder engagement, applying appropriate challenge to ensure that relevant information, evidence and rationale are complete and adequately supported.
• Develop robust, evidence-based review outcomes that clearly substantiate the conclusions and proposed control-effectiveness ratings and, where remediation is required, formulate proportionate recommendations that address the identified weaknesses and define the required outcomes.
• Actively manage Compliance Calibration and Effectiveness review and programme delivery, maintaining forward-looking plans; managing timelines, competing priorities, dependencies, risks, issues and decision requirements; identifying emerging delivery risks and implementing timely mitigation or recovery actions; providing transparent communication and escalation; and preparing clear and decision-relevant reporting for governance and senior-management review.
• Track programme recommendations and remediation activity and validate whether agreed actions have been implemented effectively and supported by appropriate evidence.
• Drive the continuous development and optimisation of the Compliance Calibration and Effectiveness programme, identifying and implementing opportunities to strengthen its design, execution and outcomes, and ensuring that the supporting methodology, documentation and guidance remain effective and fit for purpose.
• Support Data Management and Information Security initiatives, taking end-to-end ownership of assigned topics through to completion.

Your skills and experience

Essential Experience, Knowledge and Capabilities:

• Relevant professional experience in compliance, risk, audit or another related oversight or assurance function, with substantive demonstrable experience in the assessment, testing or oversight of controls or processes.
• Strong understanding of control frameworks and assurance principles, supported by the professional judgement required to evaluate risk, control and process design, implementation, supporting evidence and the adequacy of associated outcomes.
• Demonstrated ability to work with a high degree of independence, take ownership of complex topics and exercise sound judgement, supported by the professional maturity required to manage competing priorities and concurrent activities, maintain personal accountability, identify and escalate risks promptly, and recognise when input from relevant stakeholders is required.
• A thorough and inquisitive approach, with the intellectual curiosity to identify gaps in understanding, ask purposeful questions, undertake relevant research and proactively develop informed perspectives on unfamiliar or complex matters.
• Strong critical-thinking and problem-solving capability, including the ability to understand underlying positions and assertions, evaluate information objectively, distinguish genuine complexity from unnecessary complication, identify the essential issue, draw on relevant experience and available resources, involve the appropriate people and drive matters logically and promptly towards resolution.
• Strong interpersonal and communication skills, including the confidence and judgement to lead discussions, articulate complex matters clearly and challenge incomplete, unclear or unsupported positions constructively, together with strong written communication skills and the ability to present analysis, reasoning and conclusions clearly, precisely and in a manner appropriate to the intended audience.

Advantageous Experience, Knowledge and Qualifications:

• Financial-services experience and knowledge of trade surveillance, market-abuse or conduct risks, financial markets and financial instruments would be advantageous.
• Working knowledge of Excel or comparable data-analysis tools would be beneficial.
• A degree or relevant professional qualification in compliance, risk, audit, law, accounting, finance, business or a related discipline would be advantageous; relevant professional experience and demonstrated capability are of greater importance.

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