Risk Analyst – Asset Management

Risk Analyst – Asset Management

ProViso Consulting

Selling Points of Position:

• Working on new project and existing projects within client Asset management team
• Best Vs Average Candidate:
• How will performance be measured: Through ongoing feedback, biweekly regular status meeting, will report to team members

Must have:

• Asset management exp – 10+ years
• Exp interpreting security laws – 10+ years
• Exp in writing compliance policies procedures – 10+ years
• Excellent written and verbal communication skills

Nice To Have

• Investment management business and investment industry regulations
• Someone who spent their whole career in a big consulting firm as consultant


• ROLE: Support on Asset Management compliance policy and procedure work preparation and implementation; Review Law Firm summaries and industry materials to determine securities regulatory requirements with support from Compliance and Legal; Be the subject matter expert on interpreting the application of the securities regulatory requirements for the business with support from Compliance and Legal; Draft compliance policies and procedures and incorporate reviews by multiple stakeholders; Work with the business to build out new processes or updates to existing processes to meet securities regulatory requirements and policy requirements; Support business on updating procedures for new processes/controls; Draft training materials to educate business on the new requirements and processes/controls; Map regulatory rules to controls designed; Ensure effective and timely communication of work status; and Escalate key issues to and management and project team


• Deep asset management knowledge with relevant securities regulatory experience; Expert knowledge of compliance policies and procedures preparation and regulatory rule interpretation; Expert communication skills including writing skills; Ability to exercise sound judgement in making decisions; Collaborative working style and the ability to facilitate groups at all levels in a professional manner who have competing agendas to gain consensus; Ability to prioritize work while meeting multiple deadlines and are highly motivated; Degree, preferably in business, finance; An industry designation, such as a CFA and/or MBA would be beneficial; Experience in or knowledge of the investment management business and investment industry regulations

Job Details



10 Months



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