Compliance Officer Investment Risk Management
Provides compliance oversight, regulatory guidance instituting effective governance and risk management practices. Partners with CCO and senior management in the development and application of strategic vision for the culture of compliance for a SEC registered investment adviser.
Responsible for assisting the CCO in maintaining regulatory, risk, and governance oversight by analyzing and establishing internal controls. Owns and leads compliance program activities, including oversight of business requirements and internal controls for Fort Washingtons primary lines of business, liaising with senior management and departmental management, supervising the conduct of needs analysis and coordinating the reviews of client and vendor agreements, policies and procedures, and complaints.
In support of the CCO, manages business risks by coordinating and leading compliance projects and monitoring of compliance and regulatory governance requirements. The primary focus of this position is to ensure compliance-related investment and quality assurance processes are managed and regulatory and client risks are sufficiently mitigated in a timely manner.Assists in the management of compliance oversight related to clients investment policy statements including social and environmental responsible investing and remediates areas of non-compliance. Collaborates with the CCO in attending and supporting various governance oversight committees, manages multiple deadlines, responds to requests from regulators, responds to moderately complex compliance questions, leads project teams, and works in a semi-autonomous fashion with limited daily supervision, making a broad range of critical decisions.
Manages the preparation of reports or other actions requested by the parent entity, Western using measurement devices continuously. Visual acuity is required to determine accuracy, neatness, and thoroughness of work assigned.Requires the ability to prepare written correspondence, reports and forms using prescribed formats and conforming to rules of punctuation, grammar, diction, and style on a regular basis.Requires the ability to apply principles of logical thinking to define problems, collect data, establish facts, and draw valid conclusions.Performs substantial movement of wrists, hands, and fingers for continuous computer work.Extended hours required during peak workloads or special projects/events.Travel Requirements:10% travel Be available for travel, up to 10% to conduct audits or due diligence engagements.