Compliance and Ops Risk Test Lead - Asset Management - Associate

Join our dynamic team to navigate complex risk landscapes and strengthen governance across the firm's Asset Management business, making a pivotal impact in our robust risk strategy.

As a Compliance and Operations Risk Test Lead in the Testing Center of Excellence, you will play a pivotal role in enhancing compliance and operational risk management across Asset Management products, processes, and operations. Your expertise in test execution will be crucial in managing and conducting precise and accountable tests, ensuring alignment with the firm's highest risks. Your analytical thinking and problem-solving skills will be key in identifying control coverage gaps and driving remediation of control issues. You will also be responsible for planning and organizing your own work, and potentially that of a team, while liaising and coordinating activities across various departments. Your role will be integral in ensuring a cohesive and efficient testing framework, contributing to the seamless delivery of quality outcomes.

Job Responsibilities

• Conduct comprehensive testing processes across Asset Management activities, ensuring all activities are completed accurately and on time while adhering to the firm's highest risk priorities.
• Utilize advanced analytical thinking to identify control coverage gaps and verify that controls are properly designed and implemented.
• Apply problem-solving skills to address complex situations, develop alternative solutions, and interpret policies to ensure compliance with regulatory and internal standards.
• Partner with stakeholders across Asset Management, Risk, Compliance, Operations, and Audit functions to align testing efforts and ensure effective execution of testing activities.

• Continuously improve control evaluation methods and interpret control ratings and metrics to enhance the firm's compliance and operational risk management framework.

   

Required Qualifications, Capabilities and Skills

• 3+ years of experience in executing and managing testing, assurance, risk management, compliance, or control assessment activities within a financial services environment.
• Demonstrated proficiency in analytical thinking, with a track record of systematically organizing, comparing, and evaluating various aspects of a situation to identify key information.
• Proven ability to perform assessments of the control environment, identifying control coverage gaps and verifying the proper design and implementation of controls.
• Experience within Asset Management, Wealth Management, Investment Management, Internal Audit, Risk Management, Compliance, or related control functions.
• Internal Audit experience is highly desirable and will be strongly considered, particularly experience assessing control effectiveness, conducting audits, and evaluating regulatory compliance.
• Experience in coordinating activities across multiple departments, with the ability to adapt to changing priorities and manage a team if required.
• Proficiency in utilizing Project Management methodologies, tools, and techniques to lead and manage aspects of the project management lifecycle.

Preferred Qualifications, Capabilities and Skills 

• Experience supporting or auditing Asset Management businesses, including investment operations, portfolio management, fund administration, trading, or distribution activities.
• Professional certifications such as CIA, CPA, ACA, ACCA, CFA, FRM, or equivalent are advantageous.
• Strong understanding of risk and control frameworks, regulatory expectations, and testing methodologies within the financial services industry.