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Detailed Job Description:

Effective Audits:

Perform periodic, detailed analysis of Investment Product Content submissions to ensure legally required changes were made and proper retention standards were followed. Communicate results to impacted associates and managers, follow up as needed to drive for timely results. Write summaries of audit findings that are effective for an audience of senior managers in Legal & Compliance.

 Writing/Reviewing Policies & Procedures:

Writes effective policies and procedures to outline controls within Global Product to support regulatory and/or firm requirements. Reviews procedures owned by Global Product team members to ensure processes are reasonably designed and outline proper controls. Posts procedures to internal procedure repositories. Project manages the annual policy and procedure reviews for Global Product, to ensure adherence to assigned deadlines.

Maintaining Partnerships:

Develops (or assists in developing) presentation materials, agendas, etc. for compliance/risk forums. Forums include an Assurance forum with Global Product and Assurance partners, an Investment Product Content Compliance Committee, and a new internal Compliance/Risk Resource team within Global Product.

Risk Management:

Assists the Product Compliance & Risk Manager in evaluating and tracking errors and incidents. Leads or assists in providing incident reporting; reporting should effectively summarize the issues, root causes and remediation efforts, and be tailored to a senior leader audience. Position may assist with Global Product business continuity planning as needed.

Compliance & Risk Projects / Periodic Training:

Lead small projects or assist with larger projects.  Projects may require information/data gathering and documentation, developing presentation materials for meeting discussions, and liaising with partners inside and outside of Global Product.

Training materials: 

Refresh existing training materials or assist Product Compliance & Risk manager in developing new material.

QUALIFICATIONS:

Required:

Bachelor degree in a related field (e.g. accounting, finance, etc.) 5+ years of work experience in Audit, Compliance and/or Risk Management. Industry knowledge. Compliance/Risk/Audit experience (able to identify process and/or procedure gaps). Attention to detail.   Ability to analyze details and summarize/present key takeaways. Moderate presentation skills. Strong written communication skills. Strong organizational skills. Experience in writing effective policies and procedures. Problem solving skills. Accountability and ownership; follows tasks through to completion.

Preferred: 

Bachelor degree and 8-10 years related work experience. Product knowledge (i.e. investment vehicles, investment strategies).