Investment Administration and Oversight Specialist--Glenmede
Posted: August 1, 2023
Investment Administration and Oversight Specialist
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.
- 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.
- 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.
- 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.
- Bachelor’s degree or equivalent experience required.
- Two to four years of experience in an investment or wealth management environment is preferred.
- 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.
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