Compliance Analyst

• The Core Compliance team establishes and oversees Compliance requirements for employee-related activities and evaluates adherence to these requirements to avoid perceived or actual conflicts.
• The team partners with Client’s technology, software development and corporate applications teams and 3rd-party providers to support new developments, implementations, application enhancements, and continuous business process improvement.
• The role will seek to utilize analytical tools to enhance processes and create scale within the Core Compliance team.

Your role and impact

• The individual will support the Global Head of Core Compliance and partner with broader Enterprise Compliance team members and Legal & Compliance Technology to drive key regional and/or global projects.
• The individual will ideally have experience supporting/executing operational and/or compliance risk management-related processes and driving high-profile projects and will be comfortable providing subject matter expertise to support the development of operational procedures and implementation of revised frameworks in relation to the employee activities covered.

Your responsibilities

• Provide technological support to Core Compliance on key applications that are vital to daily operations of the department
• Support and implement employee activity/related compliance policies to assure compliance with key underlying regulatory and policy requirements
• Seek opportunities within Core Compliance frameworks to bolster controls and assure transparency and enhanced issue identification through relevant metrics / reporting measures
• Collaborate and work closely with regional Core Compliance teams to ensure consistency in approach and connectivity
• Support ongoing evolution of Core Compliance program, including but not limited to, process and control re-underwriting, technology enhancements.
• Participation in related projects, including broader Enterprise Compliance transformational efforts and activities providing SME content to the business and L&C stakeholders
• Provide business analysis and requirements capture, solution design and development, third party software due diligence and implementation, testing protocols, issue remediation and root cause analysis and other responsibilities associated with creating or enhancing business processes
• Manage the day-to-day project deliverables including providing project status updates to stakeholders

• Strong general risk management and/or Compliance experience beneficial
• Strong operational, analytic and/or project management experience beneficial
• Experience and understanding of personal conflicts which exist within asset management / financial industry
• Knowledge, understanding and awareness of current regulatory landscape
• Strong attention to detail, data analysis and problem-solving capabilities
• Proactive and self-motivated with a “can do” attitude and an ability to use own initiative
• Student of technology that stays abreast of new and emerging tools that have the potential to positively transform processes
• Ability to multi-task and prioritize across multiple projects and assignments; must be able to deliver and meet timelines in a fast-paced global project environment