Senior Manager, Compliance Testing, Global Asset Manager

Responsibilities:

• Develop and execute a risk-based compliance monitoring and testing program to assess the effectiveness of internal controls and adherence to regulatory requirements.
• Conduct regular compliance testing reviews and assessments to identify potential compliance issues and gaps.
• Evaluate the adequacy and effectiveness of the company's compliance policies, procedures, and internal controls.
• Prepare and present comprehensive reports on monitoring and testing findings, highlighting areas of non-compliance and making recommendations for remedial actions.
• Collaborate with business units to provide guidance and support on compliance-related matters.
• Stay updated on relevant laws, regulations, and industry best practices to ensure the compliance program remains current and effective.
• Assist in the development and enhancement of compliance monitoring and testing methodologies and tools.
• Support internal and external audits and regulatory examinations, providing necessary documentation and information.
• Contribute to the continuous improvement of the compliance program, identifying opportunities to enhance efficiency and effectiveness.

Qualifications:

• Bachelor's degree in Business, Finance, Law, or a related field.
• Minimum 6 years of experience in compliance monitoring and testing within the asset management industry or a similar financial services environment.
• Sound knowledge of relevant laws, regulations, and industry standards.
• Strong analytical skills with the ability to identify compliance risks and recommend appropriate controls.
• Excellent written and verbal communication skills, with the ability to effectively communicate complex regulatory concepts to various stakeholders.
• Detail-oriented mindset with a focus on accuracy and precision.
• Ability to work independently, prioritize tasks, and meet deadlines.