Raymund Armoreda
Mutual Fund Compliance Associate Regulatory Advisor at Dws Investment Management Americas, Inc @DWS Group
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WORK HISTORY
Mutual Fund Compliance Associate Regulatory Advisor at Dws Investment Management Americas, Inc @DWS Group
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
SKILLS
ABOUT RAYMUND ARMOREDA
Highly motivated Financial Operations associate with a strong background in a the areas…
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