Compliance and Operational Risk Manager, Investment Solutions Group
Core
Execute second line of defense compliance and operational risk oversight for Front Line Units, Control Functions, and third parties in Investment Solutions.
Role type
Senior IC compliance and operational risk manager
Builds
Independent risk oversight and compliance assurance for investment products
Domain
Financial services / Investment Solutions / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Regulatory compliance, Risk identification & assessment, Process management & inventory, Issues management & resolution, Product acumen (Alternative Investments/CIO/Treasury), Root cause analysis
Preferred skills
Regulatory examination/registration, Financial services experience
Technologies
None stated
Responsibilities
Assess risks and effectiveness of Front Line Unit processes and controls; Engage in independent compliance and operational risk oversight of FLU or Control Function performance; Identify and escalate compliance risk issues and drive root cause resolution; Manage inventory of processes, risks, controls, and metrics; Analyze and interpret laws, rules, and regulations to provide advice to stakeholders; Review and challenge FLU/CF process and risk self-assessments.
Seniority
Senior, hands-on IC