Description
One of the world's leading financial services providers is seeking a senior Controls and Testing expert for its asset management business inBoston. This position will manage a global team of compliance professionals responsible for the identification, evaluation, and testing of controls that support various regulatory requirements in addition to internal firm requirements. The focus of your work will broadly concern all regulatory compliance issues, as well as those pertaining to privacy, AML, and Code of Ethics.Responsibilities:
- Manage a global team of compliance professionals responsible for the identification, evaluation and testing of controls that support various regulatory requirements in addition to internal firm requirements.
- Manage a global team of compliance professionals responsible for the firm's annual controls examination process in addition to overseeing other compliance related requirements pertaining to privacy, AML and Code of Ethics.
- Collaborate with the investment advisor business and independent control functions to evaluate current processes and controls, identify areas for improvement, and implement solutions.
- Oversee the Firm's Compliance Forensic Testing Program
- Assist in the quarterly Regulatory Risk Assessment process, specifically providing feedback on the design and effectiveness of controls.
- Assist with Firm wide training programs as they pertain to privacy, AML and Code of Ethics.
- Assist with special projects, as requested.
Qualifications:
- Bachelor's degree with 4-10+ years of experience in the design, implementation, and testing of internal control structures, privacy programs, and AML programs.
- Prior management experience and the ability to lead a team are mandatory.
- Excellent business writing skills, verbal communication skills, and analytical skills.
Please contact Matthew Gallira with Huxley Associates for further detail.
To find out more about Huxley Associates please visit www.huxley.com