Senior Compliance Testing Specialist

The compliance analyst will be responsible for:

Working with the Senior Compliance Manager to facilitate onboarding and training of new team members locally for respective Center of Expertise (CoEs).

Working with the Assessment and Testing team to identify and develop testing protocols for all aspects of the Global Compliance program.

Working with the Assessment and Testing team, to support each region and the Global Compliance program to continuously evaluate the reasonableness and effectiveness of the advisers’ policies and procedures.

Assist with the development, implementation, and execution of different forms of compliance testing including periodic, annual and forensic.

Analyze documents and escalate report findings to the head of Assessment and Testing.

Interact with internal and external auditors, the risk team and other control functions as applicable.

Have strong inter-personal and communication skills, including verbal, technical writing and editing.

Exhibit problem-solving skills and be able to analyze data.

Be a team player and have an interest in building connections across the global firm.

Familiarity with the Investment Advisers Act of 1940, Investment Company Act of 1940, ERISA, MIFID or other adviser related regulatory regimes.

Audit or securities operations experience.

Experience reviewing investment management agreements, prospectuses, etc.

Bachelor’s degree, preferably in business, finance or economics.

Advanced knowledge of Microsoft Outlook, Word, Excel, PowerPoint.

Experience in Bloomberg AIM or other Order Management Systems.