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Global Regulatory Risk and Compliance Specialist in Oaks , PA 19456
TSI screen with Tracey
In person with client
Required Skills Set:
Years of Experience: 2
Education Required: Bachelors Degree or Equivalent Work Experience
• Manage various filing schedules in support of the regulatory filing process
• Create and communicate timelines to the appropriate internal and external clients for each filing production cycle
• Coordinate and facilitate kick-off meetings for each scheduled filing period so that internal and external clients are aware of expectations
• Act as the liaison among the client's Internal Support teams to ensure efficient and timely reporting
• Prepare ad-hoc regulatory reports and other deliverables
• Serve as project manager for the production of the various services offered by GRRC
• Identify and resolve issues and errors on a timely basis with appropriate documentation and escalation
• Review data being provided by the client in order to complete regulatory filings and post-trade compliance notices
• Serve as the primary contact for client questions and inquiries regarding the various requirements and data points of regulatory filings
• Test Regulatory Reporting module enhancements as part of the on-going release process
• Create efficiencies and improvements to existing processes
• Develop and document team procedures for various client-specific tasks and other functions as dictated by the services offered
• Support senior management with the overall strategy and vision of the GRRC team
• Participate in other team projects and tasks as necessary.
Additional Preferred Skills:
• BS/BA degree in accounting or finance
• Minimum of 2 years' of related work experience
• Working knowledge of basic accounting concepts
• Solid understanding of different investment types, especially derivatives
• Knowledge of the investment management industry
• Experience with Sungard InvestOne, InvestTier, Investran and SS&C Advent Geneva systems a plus
• Ability to understand and interpret regulations and regulatory guidance as it pertains to Investment Advisor compliance and apply knowledge in an operational environment
• Ability to perform detailed reviews of financial data and detect inaccurate or missing items, and recognize potential problems and escalate them to the appropriate levels
• Strong client service skills
• Willingness to learn new systems, concepts and broaden knowledge in the industry
• Ability to work under pressure and manage multiple tasks simultaneously
• Demonstrated ability to produce high quality work
• Excellent team player with ability to take ownership of role and work under own initiative
• Strong verbal, written communication, and client service skills
• Working knowledge of the Microsoft Office Suite with emphasis on Excel and Word
• Regular and reliable attendance in accordance with position, business and/or client needs.
This client is a leading global provider of outsourced asset management, investing processing and investment operations solutions. This division provides total operations outsourcing solutions to global investment managers and is a leading provider of accounting and administrative services to the investment management industry.
The Global Regulatory Risk and Compliance (GRRC) Specialist is responsible for ensuring the successful and accurate completion of certain compliance and administrative servicing requirements for investment manager products for assigned funds. This individual will operate in a team environment and rely heavily on the use of the micro-computer and various software packages.
Physical Environment and Working Conditions:
5 days a week, green campus, gym on site, etc.
Physical Demands and Work Environment
While performing the duties of this job, the work environment may require an individual to move around the office and from building to building which may expose the individual to weather conditions outside. The individual has to be able to sit or be stationary at a computer and use computers for extended periods of time and occasionally lift and/or move up to 20 pounds. The noise level in the environment is moderate and the individual must be able to communicate and exchange information with people in person and over the telephone and email.
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