GIG Infrastructure & Control Team provides support for end-to-end delivery of traditional and alternative products including product approval, data administration, client and performance reporting, etc. The team manages strategic initiatives and supports ongoing investment review and control processes including a comprehensive risk identification and self-assessment program, as well as planning and liaison for audit and regulatory reviews, and due diligence activities.
 

Assist the Product Managers for each of the Global Investments product families to formulate and execute appropriate sub-advisor due diligence programs where warranted, coordinate with each (involving Compliance as appropriate) to ensure their timely execution periodically - assisting where necessary, and ensure that material exceptions and issues surfaced are appropriately and timely resolved

Act as primary liaison between Global Investments and ARR (Audit) to facilitate the comprehensive, complete and timely delivery of required information for quarterly business monitoring and in preparation for ARR's periodic examinations of various Global Investments business units, including information requirements for external regulatory monitoring and/or examinations.

Proactively take responsibility for assisting business unit and product managers to add value and ensure that various types of documentation required to support audit, compliance and regulatory requirements and reviews, such as committee minutes, product programs, etc., is timely and effectively drafted, maintained, and accessible.

Play proactive and lead role in working with each of the Global Investments business unit managers, and with Global and Regional Compliance/Business Risk Management teams as appropriate, to conduct the necessary planning and preparation for periodic ARR and regulatory examinations, and to ensure that any material exceptions or issues surfaced during review planning/preparation are appropriately and timely resolved
Work closely with each of the Global Investments business unit managers, and with Global and Regional Compliance/Business Risk Management teams as appropriate, in reviewing and timely responding to audit related documents (such as RAP – Risk Assessment Profiles) and findings, business issues, etc

Take lead role in complying with the Risk Control and Self Assessment (RCSA) program including quarterly testing and reporting of GIG Key Risk Indicators (KRIs), the comprehensive assessment and reporting by unit of GIG inherent and residual risk levels, and assessment that related controls commensurate with probability and magnitude of exposure.

Work with each of the GIG business units to ensure that MARS (Management Awareness Reporting System) level issues are timely identified and communicated to management, as well as corrective action plans developed and their timely execution monitored;

Operational due diligence support for periodic reviews of 3rd party managers and administrators, including reviews of regulatory filings, media, background checks, etc.

Ongoing monitoring of media, regulatory data bases, litigation, etc. to track potential adverse developments and publicity regarding 3rd party managers.

o Assist as required in conducting the various administrative and documentation processes supporting the Investments (Fiduciary) Review Committee as well as the Boards of Directors for the various legal vehicles established for investment products. 
 

• Bachelors Degree and minimum 5 - 7 years experience in financial services or investments/securities related position.
• Desirable MBA, CFA or securities license or significant experience towards achieving same.
• Requires prior experience and proven capabilities in the type of internal business/process review, regulatory compliance, audit/examination support functions described above and understanding of investments related documentation/controls.
• Requires strong communications skills (writing and verbal), superior ability to work independently and effectively as project team member, and require high level of initiative in formulating tasks, issues, critical path, and defining deliverables.
• Highly desirable will be substantive experience with alternative investment products as well as international exposure.

• Key role in focusing business managers on controls, reporting, self-testing and process, while adding value in implementation at hands-on level with focus on taking ownership of necessary deliverables
• High degree of liaison and coordination between business and internal staff functions like Compliance, Audit, etc. – need to effectively represent business while escalating to business managers material information, deliverables, risks, issues, as appropriate to their involvement

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