• With guidance from senior team members analyzes and supports business partners on Investment Compliance programs and applicable laws, regulations, rules and standards, including keeping them informed of developments or changes that may affect their area.
• With guidance from senior team members, supports the establishment of written guidance on the appropriate implementation of Compliance programs and laws, regulations, rules and standards, through policies and procedures and other documents, such as Compliance manuals, internal codes of conduct and practice guidelines.
• Assists senior management in developing and administering Compliance programs.
• Supports compliance and risk data analytics and metrics to enhance Compliance risk assessments and assess the appropriateness of the company's Compliance procedures and guidelines.
• Identifies situations which may pose significant risk and guides management in developing policies and/or procedures that minimize such risk.
• Interacts with business partners, clients, regulators, and internal and external auditors on regulatory topics.
• Operates with the support of experienced staff and senior management.
• Candidate will develop into serving as a subject matter expert for regulatory investment compliance matters.