The principal objective of the Compliance Testing Group is to create and execute detailed testing to assess compliance with regulations and firm policies. This is an exciting opportunity for an individual to work within an international team located in New York, Salt Lake City, London, Tokyo, Singapore, and Hong Kong. The individual will work closely with Compliance and business management, and gain an excellent understanding of both the firm’s businesses and the rules and regulations under which the firm operates.
• Propose methods of testing and execute plans discussed and agreed with a team leader
• Gather data, perform analyses and document results
• Identify potential compliance and reputational risks, and effectively escalate to appropriate individuals
• Meet tight deadlines
• Multi-task – have the ability to work on several different reviews with different individuals at the same time
• Leverage strong communication skills to interact with Compliance and business senior management
• Team with colleagues around the globe to share findings and refine processes
Basic Qualifications
• Bachelor’s Degree
• Knowledge of the Investment Company Act of 1940 and related compliance and testing experience
• Knowledge of financial products, markets and regulatory policies
• Knowledge of the asset management business
• Excellent interview and presentation skills
• Excellent time management, analytical and communication skills
• Integrity, motivation, intellectual curiosity and enthusiasm
• Knowledge of Microsoft Word and Excel is a must and knowledge of Access and PowerPoint is useful
Preferred Qualifications
• Auditing, testing, regulatory/law enforcement or trading experience
• Experience in the financial services industry, either working for another investment manager, broker dealer, law firm, big Big 4 firm or regulator
• Financial instruments product knowledge (a Financial Engineering qualification, CFA, PRMIA or FRM qualifications would be useful)
• Understanding of information technology systems and standard system implementation methodologies a plus
• Fluency in English language, both orally and in writing
• Fluency in French, Spanish, Portuguese, German, Italian, Japanese, Korean, or Mandarin Chinese a plus
• Understanding of accounting
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