Product Control & Oversight Sr Analyst - Programs Oversight

Salary depends on experience
Posted on 06/13/18
New York, NY
5 - 7 years experience
Accounting, Finance & Insurance
Salary depends on experience
Posted on 06/13/18

SUMMARY

Under general direction, the PCO Sr. Analyst – IP&S Advisory and Non-Advisory Programs Oversight is responsible for strategic initiatives, procedure development, business risk assessments and overall design of the product control environment for our advisory and non-advisory programs within the Investment Products & Services Department. This individual is responsible for providing advice and guidance to the business, interfacing with internal Program Managers, Compliance and other key stakeholders, liaising with external vendors, overseeing internal reviews and providing management information reporting and updates to senior management.

ESSENTIAL DUTIES AND RESPONSIBILITIES

  • Assists with the design of the oversight and control framework for the firm’s advisory and non-advisory programs
  • Assists with the development of relevant surveillance and supervisory programs
  • Assists in procedure design and implementation
  • Provides independent oversight and assessment of the product risk
  • Enhances team’s ability to identify, measure, report and mitigate risks
  • Partner with firm leadership to ensure the risk profile of the business is understood and actions / responses to changes in profile relative to the firm’s appetite are appropriate
  • Works in close collaboration with the Product Heads, Advisory Program Managers, Branch Supervisors, Operations, Legal and Compliance, in addition to builds and maintains key relationships across these departments, in order to promote a culture of engagement and connectivity
  • Helps to limit the firm’s regulatory and reputational risk and reinforce the firm’s culture of compliance

QUALIFICATIONS

  • Bachelor's Degree in Business or related field required
  • 5+ years of experience working in financial industry; compliance, risk, ops, audit and/or control functions required
  • Series 7 & 63 licenses required
  • Proficient in Microsoft Outlook and Microsoft Office Suite

PRODU01406

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