Risk and Compliance Analyst

Job Description

At abrdn, enabling our clients to be better investors drives everything we do.

Through the expertise, insight and innovation of our team, we aim to help clients create more ways for money to make an impact. We set our sights on giving them more confidence to achieve their goals, and more clarity about what they need next. And we focus on delivering outcomes that are more than just financial – by investing responsibly to build a better world.

Role Context

abrdn is seeking an experienced professional to serve as Risk & Compliance Analyst within the Risk & Compliance function. abrdn is a diversified asset management company with retail and institutional clients throughout the Americas across an array of distribution channels, product types, and asset classes.

abrdn inc. is a wholly owned subsidiary of abrdn plc, based in Scotland. The role will be based in Philadelphia and report to the Risk Assurance and Operational Risk Manager – Americas.

Role Purpose

To assist with the execution of an optimal model for the timely delivery of high-quality assurance and operational risk activities. The Risk & Compliance Analyst will work with a team of professionals in the execution of these duties.

Assurance activities may include:

Performing regular testing, including testing of regulated (1940 Act) funds and investment adviser functions;
Periodic review and testing of broker-dealer, Canadian and Brazilian regulations with assistance from area specialists;
Contribution to the development of a yearly assurance plan; and
Performing ad hoc testing as needed, including thematic reviews.

Operational risk activities may include:

Facilitate event documentation and management within the abrdn Americas business;
Review control failures owing to events (i.e. breaches, errors or near misses) and make appropriate recommendations to improve controls to prevent recurrence;
Produce management information related to operational risks and events; and
Assist with annual Risk Control Self-Assessment process with business lines within abrdn Americas.

Assurance and operational risk activities are a critical risk management activity, and abrdn is committed to the deployment of assurance activities in a way that effectively executes risk management strategies. The optimal model would achieve growing levels of quality, efficient monitoring while providing an environment for the development of the employee. The role will include consultation with key constituent groups including the management team of the regional Risk & Compliance function and business leaders. This position will also work closely with colleagues in the Risk & Compliance function throughout abrdn globally.

Qualifications, Experience and Conditions of work

1-3 years’ experience of working in a compliance and/or risk function within the asset management business including the delivery of a testing plan;
Exposure to investment adviser regulations;
Understanding of registered fund, broker-dealer and other federal securities law a plus;
Bachelors degree or higher; and
Expectations of 3 day/week minimum in-office attendance

Talents

Relationship Building– actively builds and manages relationships and adds value by providing timely support and advice.
Critical Thinking – is able to identify new opportunities and understand the wider context and implications of changes to an operating model.
Communicating & Influencing – communicates and works effectively with people at all levels across the organization
Analytical thinking – analyses and challenges the current processes/systems and is proactive in anticipating potential problems
Teamwork – works effectively as part of a team and ensures that best practice and knowledge is shared with others in the team
Problem Solving – is proactive in identifying and analyzing problems and is able to think holistically when crafting workable solutions
Achievement Drive – is self-motivated and driven to achieve success through the delivery of results
Planning and Organizing –is comfortable working to deadlines and can effectively prioritize own workload to deliver in line with agreed timescales

Our Benefits

When you join abrdn, you will be rewarded with a comprehensive benefits package that invests in each employee’s financial future, health and well-being. We offer a range of benefits to meet your family’s needs and employees are immediately eligible to begin participating. We have an environment where you can learn, get involved and be supported.

What we offer:

Best in class Medical, Dental, and Vision plans with well-known carriers; Telehealth and Health Concierge services – – paid for in full by the company!
Health, Dependent and Commuter Flexible Spending Plans available for employee contributions
Employer provided Life Insurance, Critical Illness Insurance, Short Term and Long Term disability with additional optional coverage options
Investing for your Future – 401(k) Retirement Savings plan with top notch company Profit Sharing contribution which is immediately vested!
Generous time off starting day one with 4+ weeks annual vacation plus 9 paid holidays
Paid Parental, Adoption, and Family Sick/Caregiver leave programs
Volunteer Days and Study Time to focus on what is important to you!
Make a donation to your favorite Charity and abrdn will match up to $500 per year!
Employee Assistance, Travel and Discount Programs. From helping you navigate the healthcare system, to providing resources and assistance to parents and caregivers of children with development disabilities.
Flexible, voluntary benefits including Accident Insurance, Identity Protection, and Legal Assistance available
Wellness program including a robust Employee Assistance program and Gym Membership Reimbursements

Our Inclusive Culture

We are committed to exploring the possibilities of working smarter. This means we’d like to hear from you, whatever way you like to work.

We have a long-term commitment to building inclusive workplaces; we value diversity in our workforce and welcome enquiries from everyone. If you need assistance or a reasonable adjustment due to a disability please let us know as part of your application and we will assist. You can find out more about our inclusive culture here.

Abrdn is an affirmative action – equal opportunity employer.

We are an affirmative action – equal opportunity employer. We’re committed to providing an inclusive workplace where all forms of difference are valued and which is free from any form of unfair or unlawful treatment. We define diversity in its broadest sense – this includes but is not limited to our diversity of educational and professional backgrounds, experience, cognitive and neurodiversity, age, gender, gender identity, sexual orientation, disability, religion or belief and ethnicity and geographical provenance. We support a culture that values meritocracy, fairness and transparency and welcomes enquiries from everyone.

If you need assistance or an adjustment due to a disability please let us know as part of your application and we will assist.

Health insurance


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