The primary responsibility of the Associate Director II, Compliance, is to support the Senior Director, Risk and Compliance, regarding all aspects of AEF’s compliance program.
The position will act under the auspices and authority of the General Counsel and is accountable for compliance policies, procedures and
controls within the organization.
Overall responsibilities include monitoring current and new processes and performing routine evaluations to identify current and potential compliance risks, including the planning and execution of AEF’s Investment Policy Statement (IPS) in accordance with the Uniform Prudent Management of Institutional Funds Act (UPMIFA).
This position will be critical in assisting with the development and implementation of new compliance policies, systems, and controls for the assessment of compliance risks throughout AEF.
Qualifications
• Bachelor’s degree or equivalent experience required.
• Advanced certification in related field (CRCM, CFIRS, CPCO, etc.
) preferred.
• At least five years of experience in financial services or the investment management industry, with an understanding of compliance practices.
• Experience working with regulatory initiatives, either through internal or external audit and compliance bodies.
• Excellent communication and interpersonal skills which include relationship development, listening, oral and written communication, decision making, organizing, executing, and implementing plans, team building, and work coordination.
• Self-motivated and goal-oriented, with the ability to multi-task, prioritize, and work independently.
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