The Sr. Compliance Analyst/Assistant Vice-President will assist in creating and conducting regulatory compliance tests/audits to ensure compliance with various investment adviser, investment company and broker-dealer regulatory requirements, both US and global.
- Performing compliance testing procedures, including identifying and defining regulatory issues, developing testing criteria, conducting testing, reviewing and analyzing supporting documentation, describing/documenting existing procedures and recommending new processes if applicable
- Conducting internal interviews to understand current policies/procedures/practices, reviewing source documents, developing and administering testing surveys, composing summary testing memos and organizing/preparing testing work papers;
- Identifying, developing and documenting compliance testing issues and recommendations using independent judgment concerning areas being reviewed;
- Communicating the results of audit projects via written reports and verbal presentations to management;
- Developing and maintaining positive and productive relationships through individual contacts and meetings;
- Performing other Compliance related tasks and projects as requested.