In this role, the selected candidate will be responsible for coordinating and performing all pre-delegation and annual due diligence audits and monitoring of delegated activities to ensure compliance with National Committee for Quality Assurance (NCQA), URAC, contractual agreements, and State and Federal requirements.
In this role, you will be responsible for
providing enterprise wide oversight of specific laws, rules, regulations, and regulatory guidance, such as those related to Regulation W and/or Regulations B, D, U, X, through the identification, escalation and timely mitigation of compliance risks in alignment with the Compliance Risk Management (CRM) Program and the Global Compliance Enterprise Policy (GC Policy).
In this role, you will be responsible for documentation quality review/approval or audits, documentation maintenance and archival, quality inspections of product, and participating on internal assessments.
In this role, the selected candidate will work closely with ETF traders, portfolio managers and members of the Legal and Risk Management Departments to appropriately manage pre-trade alerts in the Order Management System (Charles River).
In this role, the selected candidate will respond to alleged violations of compliance rules, regulations, policies, procedures, and Standards of Conduct by evaluating or recommending the initiation of investigative procedures.
The selected candidate will support senior leaders in driving a conflicts and conduct management structure that integrates Compliance, the businesses, other support partners (Legal, Risk, HR Supervision).