Regulatory Change Analyst – ENO-AVP # 106665
The main duties of the AVP Regulatory Change Analyst will be multi-faceted and include administering an Investment Management platform, performing periodic certifications of entity and investment information, partnering with internal groups relative to regulatory filings and other deliverables, developing business requirements and performing UAT for select platforms, assisting in regulatory delivery initiatives and maintaining the regulatory change Book of Work. This role will require close cooperation with IT, compliance, legal and front-office business stakeholders and will report into the VP of the America's Regulatory Change Office.
Main responsibilities for this role are as follows:
- Act as administrator of investment management system including reviewing information inputted by front & back office staff on portfolio investments made by AM entities against supporting documentation & working with staff to cure missing or inconsistent data entries;
- Maintain database of supporting documentation for investment information contained in investment management system;
- Act as point of contact for investment management system working group to determine and implement needed upgrades or changes to system functionality;
- Manage periodic certification process for investment information and liaise with investment sponsors and others to gather information & documentation supporting any changes;
- Liaise with other investment management system administrators in ensuring proper creation, categorization and archival of system records and retention of supporting documentation;
- Partner with representatives from other CS Divisions and Shared Services teams to prepare & file related regulatory filings;
- Assist in the requirements definition and UAT testing of any modifications to the system to ensure system functionality & data integrity;
- Collaborate with AM Compliance professionals in ensuring all investments held by & entities formed by CS AM businesses are analyzed for Volcker compliance;
- Assist in conformance efforts together with in-house attorneys and compliance and business stakeholders in connection with investments subject to extended deadlines as required for conformance & compliance with the Volcker Rule;
- Assist preparing materials, coordinating trainings, participating in larger working group meetings on behalf of CS AM, minuting associated meetings and aiding certifiers in the carrying out of their certifications within applicable systems in connection with the annual Volcker certification process for CS AM;
- Collaborate with in-house legal and compliance professionals to provide training to stakeholders on regulations;
- Coordinate and prepare briefing materials, presentations and correspondences in connection with committee and other meetings with regard to applicable regulations;
- Conduct research and compile and organize informational and gap assessment reports; assist in delivering regulatory projects, BAU or remedial, as needed; maintaining the Americas Asset Management regulatory Book of Work;
- Work closely with senior and executive-level on ad hoc projects and perform any other assigned duties.
- Your Education & Experience: A Degree (undergraduate / graduate) from a leading university with regulatory and/or paralegal experience in financial services or Investment Management. Experience with legal business structures and transactions and supporting documentation.
- Your Core skills: Experience with corporate and business structures, purchase, sale, transfer transactions and investment subscription and related documentation; Experience in managing or administering applications from a user perspective;
- You are experienced in documenting functional requirements, developing and executing UAT cycles; Experience in providing user support and training while maintaining user manuals and documentation (i.e. FAQs).
- Excellent knowledge of standard office software applications (e.g., Microsoft PowerPoint, Excel, SharePoint); Experience utilizing document and information management systems.
- Business Knowledge: Good knowledge of AM regulatory landscape or financial industry regulatory environment preferred; Broad investment knowledge and understanding of AM investment vehicles preferred;
- Knowledge of investment purchase and sale transactions and associated documentation as well as an understanding of different functional roles within an Asset Manager preferred;
- Your Personal Attributes: You have strong organizational and prioritization skills; the ability to build strong relationships at all levels within an organization as well as to interact in a professional manner with regulators, 3rd party service providers and other counterparties;
- You are a problem solver; efficient and detail oriented.