Raymund Armoreda
- Role
- Mutual Fund Compliance Associate Regulatory Advisor at Dws Investment Management Americas, Inc at DWS Group
- Location
- Jacksonville, FL, US
- LinkedIn followers
- 500 followers
About Raymund Armoreda
Highly motivated Financial Operations associate with a strong background in a the areas…
Experience
Mutual Fund Compliance Associate Regulatory Advisor at Dws Investment Management Americas, Inc
Aug 2022 — Present
Monitor firm compliance with federal securities laws including the Investment Company Act of 1940 and Investment Advisers Act of 1940. •Verify internal controls to ensure they are adequate to achieve compliance with prevailing rules and regulations. •Develop and maintain written procedures and compliance controls for DWS’ registered funds. •Prepare and review various reports, including regular reports to the Board of the firm’s mutual funds, exchange traded funds and other products to ensure compliance with various federal securities laws include the Investment Company Act of 1940 and Investment Advisers Act of 1940. •Review and assess compliance policies and procedures to assess adequacy and effectiveness as required under Rule 38a-1 under the Investment Company Act of 1940. •Assist in overseeing the monitoring and reporting of external and internal service providers to ensure compliance with the federal securities laws. •Communicate with internal stakeholders, particularly the personnel who manage and oversee DWS’ registered funds. and •Work collaboratively with other compliance teams and business areas.
Education
University of North Florida
Bachelor's Degree, Business Management
1999 — 2003
Skills
- Management
- Workbench
- Dividends
- Trading
- Trade Finance
- Bank Reconciliation
- Analysis
- Reporting & Analysis
- Operations Management
- Isa
- Bonds
- Swift Messaging
- Investments
- Prime Brokerage
- Business Management
- Stocks
- Foreign Exchange Management
- Back Office
- Wealth Management
- Analytical Skills
- Investment Banking
- Mutual Funds
- Fixed Income
- Wealth Management Services
- International Trade
- Microsoft Office
- Banking
- Stock Market
- Financial Services
- Stock Trading
- Securities
- Trust Funds
- Equities
- Financial Reporting
- Microsoft Excel
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