We Offer A department which values Diversity and Inclusion (D&I) and is committed to realizing the firm's D&I ambition which is an integral part of our global Conduct and Ethics Standards We Offer: The incumbent will be encouraged to manage and lead Compliance reviews of Asset Management business units. This will include:
Identifying risk, prioritization and determining appropriate testing methodology.
Developing test scripts, requesting and reviewing documents, coordinating and conducting interviews with relevant partners, including the business.
Performing testing and documenting results.
Identifying control gaps and weaknesses, determining root cause, and proposing commercially viable solutions to mitigate risk.
Drafting reports, taking ownership of specific compliance reviews and tracking issues to closure in a timely manner.
Communicating review results clearly and succinctly with senior management in Compliance, Legal, the business, and global colleagues, as applicable.
Drafting, reviewing and revising existing procedures and dedicatedly improving processes as necessary.
Working independently and taking ownership of specific compliance reviews while establishing solid relationships with Line Compliance and the business. The incumbent will also be encouraged to, from time to time, assist compliance advisory coverage or own special projects related to such
Understands the value of diversity in the workplace and is dedicated to fostering an inclusive culture in all aspects of working life so that people from all backgrounds receive equal treatment, realize their full potential and can bring their full, authentic selves to work.
Equivalent experience of at least 5-7 years of Asset Management Compliance, Regulatory, Audit, or Consulting/Advisory experience within a bank, investment adviser, broker dealer, federal agency, or financial services/consulting firm, including experience with institutional products. Work experience at major financial institution/global financial services firm a plus!
College degree, J.D. a plus!
Outstanding knowledge of Investment Advisers Act, NFA, CFTC, Investment Company Act, ERISA, and broker-dealer regulation.
Excellent critical thinking skills and effective challenge of business and compliance controls and procedures.
Ability to lead and execute multiple projects (short and long term) and tasks and deliver high quality, accurate work product on time.
Strong communication (writing and oral)skills
Familiarity with Microsoft Excel, PowerPoint and Word.
Self-starter with an ability to work independently with little direction or oversight.
Ability to identify control weaknesses and craft corrective measures.
Proactive and outstanding leadership skills.
Ability to work in fast-paced and complex environment.
Active engagement in the development and execution of effective monitoring and testing programs.