FIRMA - Career Opportunities

Posted: August 1, 2023

Responsibilities:

Reg 9 Investment Compliance

Monitor the timely completion of Reg 9 investment reviews, provide aging and tracking of past due reviews.
Aggregate and monitor exceptions with analysis of trends to assess risk exposure and identify systemic root causes.
Review significant exceptions outstanding, provide follow-up and tracking of remediation.
Report and escalate significant, unresolved exceptions to IOC.
Maintain Approved Lists used for investment reviews.
Train new employees on the review process and compliance monitoring system.
Partner with Investment Systems Support in maintaining and enhancing the compliance monitoring system.

Investment Oversight Committee (IOC) Governance

Maintain IOC meeting schedule and assist with agenda and minutes.
Prepare delinquency and aggregate exception reports.
Present analysis of trends and risk assessment.
Maintain policies and procedures related to investment oversight and administration.
Support peer review process at Glenmede.

Investment Oversight

Partner with the Performance Measurement team to identify composite outliers.
Engage with portfolio managers to identify root cause of outliers, determine if action is required.
Summarize findings and report to IOC.
Partner with the Sustainable & Impact Investment Team to identify accounts utilizing S&I strategies, monitor aggregate S&I exposure and ensure appropriate IPS documentation.
Support other Investment Oversight priorities, as necessary.

Investment Administration

Support enhancements to investment administration and governance process and best practices for management of accounts including but not limited to investment policy guidelines.
Develop training and job aids, as needed.
Provide support during internal audits and regulatory exams, as needed.

Firm Building

Active engagement in department-specific and firm-wide initiatives to expand capabilities, create solutions to unmet business needs, improve client experience, or develop more efficient processes.
Ability and willingness to contribute to the advancement of the team, office, and business capabilities.

Required Qualifications:

Bachelor’s degree or equivalent experience required.
Two to four years of experience in an investment or wealth management environment is preferred.

Preferred Qualifications:

Interest or progress toward the CFA or CFIRS designation is preferred.
We are looking for a team player who can take initiative and work independently.
Excellent written and verbal communication skills. Full understanding of client privacy and confidentiality.
Proven competence in the following: ability to work well under pressure; detail-oriented, particularly with financial calculations; organizational and problem-solving skills; ability to multi-task and prioritize work.

To Apply: