Be Part of a High-Performing Team
This opportunity supports a global financial institution known for its disciplined risk culture and strong governance standards. The compliance and risk teams operate within a structured, collaborative environment focused on delivering high-quality regulatory reporting, strengthening enterprise controls, and maintaining operational integrity across asset management functions. The group is currently advancing several initiatives aimed at modernizing compliance oversight, enhancing control documentation, and increasing readiness for regulatory examinations.
What’s In Store for You
- Hybrid work model in a major financial center.
- Exposure to high-visibility initiatives within compliance, risk, and asset management functions.
- Opportunity to influence core components of the asset management compliance framework.
How You Will Make an Impact
- Translate existing compliance assessments and taxonomies into a formalized risk and control inventory tailored specifically to asset management operations.
- Develop a structured compliance monitoring and testing plan aligned with corporate-level frameworks.
- Identify gaps and inconsistencies between business-unit compliance procedures and enterprise standards.
- Produce polished, exam-ready documentation that supports audits, internal reviews, and regulatory examinations.
- Collaborate with compliance, risk, and asset management teams to ensure alignment across the control environment.
Are you a proven compliance professional with deep expertise in asset management controls?
Required Skills & Experience
- 10+ years in compliance, risk, audit, or regulatory roles within financial services.
- Expertise in asset management regulatory frameworks (e.g., SEC, FINRA).
- Demonstrated ability to build or refine risk and control inventories.
- Direct experience creating documentation for regulatory exams or audits.
- Background in developing or supporting compliance monitoring/testing programs.
- Strong analytical writing and organizational skills.
- Ability to work cross-functionally with risk, audit, and compliance teams.
Preferred
- Certifications such as CAMS, CRCM, CIA, or CPA.
- Experience in large, global, or highly regulated financial institutions.
- Familiarity with enterprise-wide regulatory remediation programs.