1. Develop, implement and administer a quality assurance/compliance program that:
a. Proactively assesses business unit needs/capabilities and mitigates operational risks through the performance of control self-assessments and by obtaining an in-depth understanding of the overall control environment
b. Leads/supports business units with risk and control assessments with a goal to design and implement control enhancements (e.g. reviews of new product roll-outs, application enhancements and changes to defined key controls).
2. Facilitate building of a control environment that meets AICPA attestation standards.
a. Lead/support weekly business control meetings
b. Implement periodic key control reviews based on independent analysis or leveraging accounting teams to perform self assessments based on predefined review programs
3. Develop/enhance best practice group, responsible for defining/reviewing key policies and procedures.
a. Formalize a structured best practice program
b. Design best practices based on data analysis and workshops held to leverage knowledge across all operating units
c. Establish communication mechanisms for sharing knowledge with various levels of staff and management
d. Leverage Intranet to facilitate procedure maintenance and communication
e. Hold periodic training forums
4. Support business units with post mortem analysis of key control events
a. Help ensure analysis focuses on appropriate key control and root cause issues and are written in a clear and concise manor and are grammatically sound.
b. Support various monitoring requirements (e.g. implementation of Phoenix action plans, control event enhancements implementations, management reporting, best practice project plans)
5. Coordinate with IT liaison to develop a UDT oversight/approval process
6. Support other business unit review processes as necessary
· 5+ years experience in financial services (investment management) industry
· Ability to work in a collaborative environment whereby you are able to leverage resources of other groups
· Strong people manager
· Knowledge of Operations
· Sound understanding of risk management and audit methodologies
· Strong analytical and communication skills