Main Responsibilities
The compliance analyst will be responsible for:
- Working with the Senior Compliance Manager to facilitate onboarding and training of new team members locally for respective Center of Expertise (CoEs).
- Working with the Assessment and Testing team to identify and develop testing protocols for all aspects of the Global Compliance program.
- Working with the Assessment and Testing team, to support each region and the Global Compliance program to continuously evaluate the reasonableness and effectiveness of the advisers policies and procedures.
- Assist with the development, implementation, and execution of different forms of compliance testing including periodic, annual and forensic.
- Analyze documents and escalate report findings to the head of Assessment and Testing.
- Participate in discussions with corresponding control and process owners.
- Interact with internal and external auditors, the risk team and other control functions as applicable.
- Assist with coordination of documents and responses for the company's annual SOC 1 exam and all other relevant exams.
- Assist with the preparation and development of effective management reporting.
Qualifications
- Be detail oriented with an emphasis on organization, formatting and time management.
- Have strong inter-personal and communication skills, including verbal, technical writing and editing.
- Exhibit problem-solving skills and be able to analyze data.
- Have a strong work ethic, high standards, being able to take accountability and responsibility.
- Be a team player and have an interest in building connections across the global firm.
- Exhibit strong listening and probing skills.
- Have personal integrity and be client service oriented.
- Be enthusiastic, adaptable, forward thinking, self-motivated and energetic.
- Be able to work independently and in collaboration with team members.
- Global industry exposure a plus.
- Familiarity with the Investment Advisers Act of 1940, Investment Company Act of 1940, ERISA, MIFID or other adviser related regulatory regimes.
- Good critical-thinking, research and social media tools familiarity is critical, as well as a sense of curiosity.
- Audit or securities operations experience.
- Experience reviewing investment management agreements, prospectuses, etc.
Technical Qualifications:
- Bachelor's degree, preferably in business, finance or economics.
- Advanced knowledge of Microsoft Outlook, Word, Excel, PowerPoint.
- Experience in Bloomberg AIM or other Order Management Systems.
