Great-West Financial Empower Retirement

Senior Analyst Investment Compliance

US-CO-Denver (DTC)
4 weeks ago
Job ID
14929
# Positions
1
Category
Finance

Position Highlights

Be Bold Be Brilliant

 

Would you like to be a part of one of America's leading financial services firms? Great-West Financial is the nation’s second largest insurer in sales of individual life insurance through banks. We also offer annuity and executive benefits products. Under Empower Retirement, we provide employer sponsored retirement plans as the nation’s second largest retirement plan provider.

 

Our over 5,000 associates across 40 locations across the country provide world class service to:

 

30,000+ employer sponsored retirement plans

8 million+ employees participating in their employer-sponsored retirement plan

467,700+ individual life insurance and annuity accounts

$460 billion+ total assets under administration

 

Investment Compliance provides compliance services to Investment Management.  This is a highly challenging and dynamic role in support of investment management mandates across fixed income security types.  The position will work directly with the investment and trading team and with the regulatory compliance team. This position is located in Denver, CO and will oversee the compliance activities for funds managed by the Great-West Financial Investments team.

The Senior Analyst Investment Compliance actively monitors all funds, trades and accounts to ensure compliance with their respective investment guidelines, regulatory requirements and internal controls. The Senior Analyst Investment Compliance will complete and validate compliance for the firm’s board of directors and client certifications. This position will also assist in the design, day-to-day implementation, testing, and execution of a compliance system.

Primary Responsibilities

  • Conduct automated and manual pre- and post-trade investment guideline monitoring for the firm’s ‘40 Act mutual funds, common/collective trust funds, and managed separate accounts, including analyzing and validating exceptions and working with portfolio managers and fund administration to resolve issues as needed.
  • Support the launching of client accounts by analyzing investment guidelines, coding automated compliance tests into the Investment Compliance system and communicating with members of the portfolio and team as required.
  • Assist with the development, implementation and ongoing oversight of all applicable compliance policies & procedures, including the preparation of robust process documentation.
  • Participate in the resolution of compliance-related issues associated with sub-advisors for the firm’s managed separate accounts.
  • Assist with the stewardship of data retrieval and maintenance in the compliance monitoring system for investments-related data needs related to compliance testing.
  • Consult and partner in the implementation of new processes and enhancements to existing pre- and post-trade compliance monitoring, reporting, and trading systems. Participate in projects that promote the consistent application of investment-specific data across the enterprise.
  • Support the undertaking of reviews by Internal Audit and the timely closing of resulting action items as required.
  • Coordinate and submit relevant board reports and client certifications.
  • Analyze and review investment security data in the securities accounting system for impact to Investment Compliance.
  • Assist with other Compliance and/or Risk related activities or projects, as needed.

Qualifications

  • 2+ years experience in investment management or compliance. 
  • Knowledge of US securities compliance (Investment Company Act of 1940 and Investment Adviser Act of 1940), regulated business environments and key legal issues especially as they relate to trading, the investment process and the management of investment funds.
  • Knowledge of financial markets and strong understanding of the investment industry with sound understanding of fixed income securities, loans and derivative securities.
  • Sound understanding of the separate account management business is a significant plus.
  • Some exposure to financial products such as mutual funds and institutional separate accounts a plus.
  • Experience working with ITG Investment Compliance Monitoring System or similar system a plus.
  • Strong follow-through and documentation skills; must be able to report issues promptly and follow them through to resolution, including documentation of such resolution.
  • Excellent Excel skills; experience with data extraction and manipulation of large amounts of data.
  • Excellent verbal and written communication skills.
  • Excellent analytical, quantitative and problem solving skills.
  • Must be detail oriented and organized, able to handle multiple, competing projects.
  • Team player, but able to work independently and with colleagues at all level.
  • BS/BA undergraduate degree in accounting or finance preferred.

Working Conditions/Physical Requirements:  Normal Office Working Conditions

 

Disclaimer:  The above statements are intended to describe the general nature and level of work being performed by individuals assigned to this job.  They are not intended to be an exhaustive list of responsibilities, duties and skills.

About Great-West Financial

At Great-West Financial® and Empower Retirement, our more than 5,700 global associates are dedicated to helping customers secure their financial futures. We offer a range of retirement savings products, life insurance, annuities and investment services from offices across the country. If you’re interested in joining a company that enjoys a record of strong performance and is rich in history yet innovative, bold and transformative, then our organization is an outstanding place for you to grow and succeed. We’re an equal opportunity employer dedicated to workforce diversity. We’re also committed to providing a drug-free workplace.

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