a Filcro Financial Staffing Company
Domestic & International Banking Executive Search
|Position||Investments Review Analyst - Global Investments|
|Salary||to $150,000 base, plus bonus and exceptional benefits|
|Location||New York City, NY - U.S.A.|
|The Global Investments Group
(GIG) was established to support the Private Bank's mission by driving
excellence in investments across key strategies and asset classes with
products relevant for segments where the Group can build significant competitive
advantage; by supporting our bankers and their clients pre- and post-sale
with effective Investment, Communications, Marketing, Training, Infrastructure
and Product Management capabilities; and by creating a nimble, adaptive
organization with a focus on time-to-market.
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
each of the Global Investments business units to develop and maintain appropriate
self testing programs, coordinate with each to ensure their timely execution
periodically - assisting or carrying out self tests where necessary, and
ensure that material exceptions and issues surfaced are appropriately and
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
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.
This search is being conducted in New York City and candidates are encouraged to apply in complete confidence.
place or leave the words: "Investments
Review Analyst" in the subject line of
your e-mail, Thank you.
Banking jobs for investment review analysts in global banking in New York jobs for global investment analysts