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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).