Primary Responsibilities:

• Execute testing to validate the operating effectiveness of the compliance program
• Perform compliance reviews to ensure adherence to applicable policies and regulations
• Prepare written reports summarizing compliance investigations and any related findings
• Assist with managing web-based platforms to administer the global compliance program
• Oversee service providers and manage relationships with compliance consultants
• Maintain supporting records for regulatory filings preparation in conjunction with the Compliance Director, Chief Compliance Officer, and outside advisers
• Own and develop compliance risk matrix to implement compliance procedures, report testing observations and propose remediation where necessary
• Support IT staff with implementation of the written information security program

Education & Certificates

• Bachelor’s degree required
• Advanced degree and/or professional credentials preferred (e.g., CPA, CFA, CIA)

Professional Experience

• Seeking applicants with backgrounds in regulatory compliance, internal audit, or public accounting
• 2-4 years of relevant work experience
• Experience in asset management industry preferred but not required

Competencies & Attributes

• Strong written and verbal communications skills – role involves significant interaction with employees and management across the business
• Data analytics skills to review complex data sets and identify potential vulnerabilities
• Microsoft Excel proficiency with pivot table experience
• Ability to quickly learn new technology platforms
• Must be able to both work independently and function effectively in a team setting