Senior Analyst, Compliance

MAIN RESPONSIBILITIES

The compliance analyst will be responsible for :

• Working with the Senior Compliance Manager to facilitate onboarding and training of new team members locally for respective Center of Expertise (CoEs).
• Working with the Assessment and Testing team to identify and develop testing protocols for all aspects of the Global Compliance program.
• Working with the Assessment and Testing team, to support each region and the Global Compliance program to continuously evaluate the reasonableness and effectiveness of the advisers’ policies and procedures.
• Assist with the development, implementation, and execution of different forms of compliance testing including periodic, annual and forensic.
• Analyze documents and escalate report findings to the head of Assessment and Testing.
• Participate in discussions with corresponding control and process owners.
• Interact with internal and external auditors, the risk team and other control functions as applicable.
• Assist with coordination of documents and responses for the company’s annual SOC 1 exam and all other relevant exams.
• Assist with the preparation and development of effective management reporting.

QUALIFICATIONS

Technical Qualifications :