Sr. Analyst - GIO - Risk & Compliance

About This Position

The Sr. Analyst - GIO - Risk and Compliance sits within Service Provider Management supporting the operational risk management program for Global Investment Operations (GIO) to ensure that sound practices and procedures are in place across all GIO locations and processes globally along with GIO’s contracted third party service providers. This position works with business partners throughout Enterprise Risk, procurement, and GIO, including Investments Middle Office and Fund Accounting. Responsibilities include planning, implementation, and monitoring of compliance and risk management requirements across internal and third-party processes.

In this high-visibility role, the Sr. Analyst works on a variety of complex issues and requests and acts as the liaison to Investments, Legal & Firm-wide Compliance, auditors, , third party service providers and regulators to mitigate compliance/risk-related concerns. Additional areas of focus include incident management and reporting, business continuity, data privacy, and access controls. 

The Sr. Analyst will report to the Lead Manager - GIO Service Provider Management and is part of the GIO – Shared Services organization which works broadly to support multiple functional teams in Global Investment Operations.  

Role Summary

Supports the effectiveness of the risk function within a business line. Applies advanced understanding of the design and operating effectiveness of internal controls to advise the business line on executing the risk program.

Responsibilities

• Leveraging strong knowledge of business line, evaluates existing processes, identifies control gaps, and recommends treatments for any gaps found within a business line. Develops reports and delivers these to management.

• Monitors compliance across the business line. Reports risks caused by business activities to senior staff. Evaluates potential courses of action to address complex issues identified and recommends solutions.

• Works with internal auditors when assigned business line is audited and reports on treatment of control gaps that are being put in place.

• Manages and coordinates updates to common language sections in the reporting and ensures alignment to other reporting groups and regulatory framework. Ensures consistent and appropriate presentation of content within reports.

• Contributes to efforts to develop a strong organizational risk culture and applies risk management techniques to assigned business line.

Qualifications

Required:

• Bachelor's degree or the equivalent combination of education and relevant experience AND

• 5+ years of total relevant work experience

Preferred:

• Relationship management

• Prior Investment Operations, Middle Office, or Operational Risk experience

• Strong communication skills

• Inclusive mindset

• Comfortable balancing multiple tasks on a growing team

FINRA Requirements

FINRA licenses are not required and will not be supported for this role.

Work Flexibility

This role is eligible for hybrid work, with up to one day per week from home.