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 3 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.