Asset Management Compliance Risk Analysis and Testing
Responsibilities:
• Identifying and assessing compliance risks.
• Designing and developing testing strategies and analyses.
• Consulting with management to develop corrective action plans while maintaining a balance between risk mitigation and operational efficiency.
• Documenting and reporting findings to various levels of management.
• Developing documentation of new, complex or higher risk business processes (flowcharting, risk and control mapping).
Qualifications:
• Internal audit or broad base of investment advisory firm experience.
• General knowledge of Investment Company and Investment Advisor operations including applicable securities laws.
• Strong interpersonal and communication skills, including the ability to summarize complex information in reports to management.
• Ability to recommend appropriate changes in a diplomatic professional manner.
• Strong analytical and problem solving skills.
• Ability to work independently and manage multiple priorities simultaneously.
Additional required capabilities include planning and organizational skills with emphasis on delivering results. Periodic visits to other office locations may be required with up to 10% travel.
Preferred Qualifications:
• Advanced degree or professional certification such as CIA or CPA.
• Strong proficiency in Microsoft WORD, EXCEL, VISIO etc.
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