Detailed Job Description:
Effective Audits:
- Perform periodic, detailed analysis of Investment Product Content submissions to ensure legally required changes were made and proper retention standards were followed.
- Communicate results to impacted associates and managers, follow up as needed to drive for timely results.
- Write summaries of audit findings that are effective for an audience of senior managers in Legal & Compliance.
Writing/Reviewing Policies & Procedures:
- Writes effective policies and procedures to outline controls within Global Product to support regulatory and/or firm requirements.
- Reviews procedures owned by Global Product team members to ensure processes are reasonably designed and outline proper controls.
- Posts procedures to internal procedure repositories.
- Project manages the annual policy and procedure reviews for Global Product, to ensure adherence to assign...
