Compliance Vice President
Position Description
Global investment management firm seeks Compliance Professional to work as a member of the MSIM Compliance Department focusing on Compliance Testing and Service Provider Oversight.
Primary Responsibilities:
• Participate in the annual compliance risk assessment and assist in formulating MSIM Compliance's annual compliance program based on risk assessment results.
• Assist with the development, implementation and execution of risk-based compliance testing to review and assess the effectiveness of the firm's policies and procedures in compliance with Rules 38a-1 and 206(4)-7, including developing remediation plans for gaps identified from testing, maintaining thorough documentation, tracking and reporting of test results for MSIM's annual test plan.
• Liaise with MSIM regional monitoring and testing personnel to ensure consistent implementation and adherence to Firm monitoring and testing policies and procedures and to represent MSIM with the Firm's Compliance Monitoring and Testing Committees.
• Participate in the development of MSIM's vendor management program and implement MSIM Compliance's vendor due diligence and oversight program in accordance with Firm policies and procedures and regulatory requirements.
• Assist in coordinating with Operational Risk for MSIM's annual SSAE 16 assessment and manage deliverables for MSIM Global Compliance.
• Liaise with internal audit to leverage audit's reviews for compliance testing and coordinate other internal/external audits/reviews, as applicable
• Liaise with MSIM regional compliance personnel to ensure compliance with Global Compliance's new product approval policies and procedures.
• Manage the reporting of key metrics for MSIM's Compliance Program to senior management.
Skills Required
BA/BS required with a concentration in Accounting or Finance a plus.
7 to 10 years experience in similar role in investment management.
Working knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940 and applicable securities laws, FINRA and Department of Labor's ERISA regulations.
Testing, surveillance or auditing experience a plus.
Proficiency with Microsoft Excel, PowerPoint, Adobe, SharePoint, Bloomberg, and ability to quickly learn automated systems, such as trade order management systems, portfolio accounting systems, pre/post trade surveillance systems and web applications.
Must have excellent written and oral communication skills.
High degree of attention to detail.
Highly analytical.
Team Player.
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