Manager- Compliance Monitoring

Key Responsibilities

• Implement and perform desktop and thematic reviews related to investment management activities, ESG ratings and other aspects of sustainable investing.
• Collaborate with corporate enablers to address all sustainable requirements and relevant risks, including exclusions, product proposition, and legal disclosures.
• Conduct reviews of research-related products and deliverables to ensure compliance with internal guidelines and external regulations.
• Contribute to the development of dashboards, management reports, and papers for governance committees.
• Assist in the creation or update of policies and procedures, keeping abreast of regulatory changes and analyzing their impact.
• Escalate identified issues to business partners and follow up until remediation.
• Aid in the development and maintenance of the annual monitoring plan by reviewing global regulatory risk assessments and engaging with key stakeholders for review prioritization.
• Perform ad-hoc compliance monitoring tasks as required,

Qualification & Requirements

• Preferably 8+ years of experience in a Compliance or assurance-type role within the financial services industry.
• Firm understanding of concepts and practices relating to sustainable investing and ESG ratings.
• Strong analytical skills and experience performing thematic reviews or audits would be beneficial.
• Excellent written and verbal communication skills.
• Proven ability to coordinate and work with teammates and stakeholders across multiple locations.
• Strong organizational skills, with the capacity to work well under pressure and remain motivated while completing routine tasks.

Benefits

No information available.