Back to jobsFacilitates a robust culture of compliance through the successful delivery of an efficient and effective compliance program including policies, procedures, active engagement with business partners and awareness training.
Conducts appropriate inquiries and investigations in relation to actual and potential compliance breaches and ensures that appropriate corrective and/or risk-mitigation actions are implemented in a timely manner or escalated, as required.
Proactively identifies gaps and inefficiencies in compliance controls and processes and leverages automation and AI tools to enhance compliance monitoring, strengthen risk detection, improve internal controls, and reduce manual effort.
Supports the coordination and administration of annual compliance training and annual compliance attestations and monitors conflict-of-interest matters, such as personal trading, gifts and entertainment, and outside activities, through the personal trading system to help ensure timely review, escalation, and resolution.
Assists in keeping compliance policies and procedures up to date and supports the ongoing maintenance of the Compliance SharePoint site to ensure information is current, organized, and accessible.
Assists in preparing reporting for various committees and working groups that may include the Trade Management Oversight Committee, Conflict of Interest Committee, Independent Review Committee, and the Trade Cost Analysis working group.
Develops and maintains a trusted-advisor and commercial relationship with Senior Management and other stakeholders (such as Portfolio Managers, Traders, Legal, Operations, and Product) through the delivery of consistent, timely, practical, and accurate guidance and advice to the business.
The incumbent will use his/her analytical skills to conduct relevant research and arrive at conclusions and/or recommendations based on the exercise of good judgment on moderately complex decisions falling within standard policies; and escalate matters beyond existing policies. Maintains a high level of awareness of compliance related changes and developments in the securities industry through review of publications, participation in industry associations, employee development initiatives, etc.
Participates in special compliance projects, as required, and prepares and coordinates compliance management reports.
Other duties and projects as may be assigned from time to time.
