Global Employee Compliance Associate – Licensing & Registration, AS

Overview

Support global employee compliance activities focused on licensing and registration, employee dealings, conflicts of interest and related regulatory obligations within DWS’s Anti-Financial Crime & Compliance Division.

What you'll do

• Monitor employee adherence to trading, outside business activity and conflict-of-interest policies.
• Support the Pune-based global Licensing & Registration hub and regulatory tasks.
• Review and maintain compliance records, registrations, attestations and documentation.
• Perform monitoring, quality checks and exception follow-up.
• Prepare management information, dashboards, trackers and status updates.
• Liaise with employees, compliance, HR, legal, business stakeholders and external parties.
• Contribute to process improvements, control enhancements, documentation and automation.

What you'll need

• 3–6 years of experience in Compliance.
• Knowledge of regulatory compliance, employee dealing controls, licensing requirements, conflicts of interest and confidentiality.
• Strong analytical, attention-to-detail and communication skills.
• Ability to manage multiple priorities and meet deadlines in a control-focused environment.
• Proficiency in Microsoft Office, especially Excel and PowerPoint.
• Degree-level education or relevant industry experience.
• Business-fluent written and spoken English.

Nice to have

• Experience in Employee Compliance, Surveillance & Monitoring, a Compliance Control Room or Anti-Financial Crime within a financial institution.
• Experience with workflow, case management or compliance surveillance tools.

Details

• Location: Pune, India.
• Corporate title: Senior Analyst/Associate.