Purpose of the Job (list the primary job duties and responsibilities)
The purpose of the job is to provide end to end support to investment company clients & their Compliance teams meaningful insights into funds ability to comply with SEC requirements and also the compliance with guidelines given in the prospectus and Statement of Additional Information (SAI).
Roles and Responsibilities (list the primary job duties and responsibilities)
Supervises the daily and monthly activities of the Investment Compliance Monitoring staff.
Manages the day-to-day activities and controls to ensure daily deliverables are met and that daily work is performed accurately.
Ensures Standard Operating Procedures are being followed.
Manages and facilitates timely resolution of issues.
Keep management informed of any potential issues
Keeps abreast of regulatory compliance and developments for the assigned area and apprises staff as necessary.
Identifies and analyzes operations risks related to current and potential business and recommends procedural changes as needed
Provides immediate supervision to a group, assigning tasks and checking work at regular intervals. A portion of the time is normally spent performing individual tasks related to the unit
Participates on projects or committees within the department and / or with BU Shared Services, COEs and Client Operations teams.
During the course of normal day-to-day operation, responsible for identifying any unusual or potentially suspicious transaction activity and reporting and / or escalating in accordance with corporate policy and guidelines detailed in relevant operating procedures.
Conducts periodic performance reviews; provides ongoing counsel, training, development and motivation of staff.
Participates in the hiring, salary, promotional and termination recommendation process