Project Manager – Regulatory/ Governance/ Asset Management
If you are a self-confident, self-motivated person with a strong work ethic and excellent communication skills, and you enjoy a fast-paced, team-driven environment, contact us today!
Working with one of the top financial clients, this role calls for a Project Manager – Regulatory/ Governance/ Asset Management who will be responsible for preparing and maintaining key documents supporting regulatory compliance, including compliance policies and associated procedures and incorporating reviews by multiple stakeholders. The successful candidate must establish strong relationships and maintain an interaction model with business partners, Compliance, and Legal.
Responsibilities:
- Provide 1B oversight on the client’s Wealth Volcker Governance Program.
- Support certain tasks related to trade management oversight.
- Prepare quarterly materials and meeting minutes for the client’s Policy Oversight Committee and maintain the RPG team's policy tracker to ensure policies are updated in a timely manner.
- Compile quarterly and annual reporting for the Independent Review Committee of the client’s Funds.
- Support the process to validate and obtain agreement on key regulatory controls with business owners.
- Prepare and maintain key documents supporting regulatory compliance, including compliance policies and associated procedures, and incorporate reviews by multiple stakeholders.
- Assess and address impacts and gaps related to any ongoing business or regulatory changes.
- Support business in updating procedures for new processes/controls.
- Support the Vice President & Director, RPG, in ad-hoc tasks, including reporting, procedure writing, tracking of issues, preparing training decks and tracking training attendance.
- Establish strong relationships and maintain an interaction model with business partners, Compliance, and Legal.
- Liaise with industry associations (Portfolio Management Association, Investment Fund Institute, Investment Company Institute, Investment Adviser Association and Securities Industry and Financial Markets Association) and industry contacts on compliance and policy matters including best practices, analysis, interpretation and execution.
Desired Skill Set:
- 2 years of experience in Asset management or fund management with relevant securities regulatory experience
- 2 years of expert knowledge of compliance policies, procedures preparation and regulatory rule interpretation
- 2 years of experience in Governance
- 2 years of hands-on experience with MS Office Suite (e.g., PowerPoint, Excel, Word, etc.)
- Expert communication skills, including writing skills
Nice To Have:
- Experience in the investment management business and investment industry regulations
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