Job Description

The Global Distribution (GD) Compliance & Risk Management Analyst position provides support, direction and consulting to business partners and senior leaders throughout the firm encompassing the oversight of prospectus and shareholder report delivery. The position ensures that the required oversight processes are executed accurately and timely. The position assists in the planning, implementation, and monitoring of regulatory changes pertaining to the delivery of shareholder reports and prospectuses. This includes writing requirements and establishing processes to reconcile delivery and mitigate and monitor risk. This position uses business experience and judgment to provide recommendations on compliance/ risk management goals and to provide support to business partners with respect to compliance/risk management needs. The position manages a variety of complex issues and requests, including the resolution of business issues involving compliance or risk management. The analyst collaborates with Legal & Global Compliance Internal Audit, and auditors to monitor compliance/risk-related concerns and to continuously enhance the Compliance Mailings program.

The position independently facilitates discussions and presents recommendations to business units/business partners to enhance collective knowledge of critical risks, compliance controls, control gaps, and potential solutions. The position mentors and provides guidance to the GD Compliance & Risk Management Associate Analysts.

Responsibilities

• Serves as project lead on small to medium-sized projects of moderate complexity. Supports specific work streams of larger or more complicated projects. Partners with stakeholders to gather and define requirements, develop timelines, establish milestones, and report on the project status.
• Coordinates activities related to new compliance mailing regulations. Submits recommendations to modify policies and procedures related to internal controls. Communicates these changes to operations teams and assists with updates to processes to strengthen risk management programs.
• Partners with various business units and teams such as Legal, Enterprise Risk Management, Investment Operations, and others to coordinate (or assist with the coordination of) resolution on compliance mailing matters.
• Provides managers with information and input on new firmwide policies, guiding them on matters related to implementation and compliance; monitors ongoing compliance across all teams. Executes education and training programs for employees whose functions or responsibilities involve compliance with applicable firm policy and regulatory and industry laws.
• Coordinates projects designed to resolve various process issues using knowledge of best practices, systems, policy requirements, and client service needs to implement the development of solutions that improve overall efficiencies.
• Assists with vendor due diligence providing recommendations and analyzing vendor services.
• Understands and identifies when certain matters need to be escalated to senior level management.
• Reconciles daily and monthly reporting to ensure it is accurate and helps identify trends to be reported back to the business or management.
• Serves as point of contact in support of the firm’s compliance mailing program. Exercises judgment and discretion to analyze various processes to identify risks and areas of potential exposure. Raises issues to the attention of managers for further guidance.
• Collaborates with various internal departments to ensure adherence to policies and maintenance of appropriate documentation.

Qualifications
Required:

• Bachelor's degree or the equivalent combination of education and relevant experience AND
• 2+ years of total relevant work experience

Preferred:

• Ability to quickly collect, organize, and analyze significant amounts of information with a strong attention to detail and accuracy;
• Experience drafting policies for regulatory changes.
• Strong professional collaborative communication skills both written and verbal.
• Ability to quickly learn business processes and applicable systems/platforms through one-on-one training and self-study of documented policies, procedures, guidance documents and job aids;
• Communicates effectively in a variety of settings and using different mediums; tailors message and delivery to different audiences;
• Professional, proactive and self-motivated;
• Accountable for own work and effective coordination of process and information sharing with others;
• Balances working independently, within guidelines after receiving general guidance, with seeking input/guidance in a timely manner to avoid delays and re-work/duplication of efforts;
• Listens in the context of objectives and asks relevant insightful questions.
• Strong attention to detail; and
• Self-motivated drive for results with assigned projects.
• Decision making ability.

FINRA Requirements

FINRA licenses are not required and will not be supported for this role.

Work Flexibility

This role is eligible for hybrid work, with up to two days per week from home.