Gwm Risk Associate

Profile

GWM Risk Associate

The candidate will provide support to the Head of GWM Business Risk and Partner Policy to establish a first line of defense risk management and governance program to ensure the business operates in an effective and compliant manner while delivering on its strategic goals. Review sales practices against applicable compliance standards and identify risks and help develop risk-based infrastructure/processes for GWM businesses, including monitoring of controls. Assess existing infrastructure and through automation build enhancements/tools for greater efficiency and effectiveness for GWM management and businesses to perform their day to day activities. Gain strong understanding of key sales activities and applicable compliance standards for areas such as non-cash compensation, use of electronic communications and marketing, social and digital communications. Proactively assess impact and risks related to business and regulatory/compliance changes. Assist with drafting business procedures, guidelines and other communications; help develop effective training to reinforce policies, procedures, controls, ethical practices across GWM businesses and mitigate risks. Must take initiative in learning and applying new skills, understanding the business model and activities, partner firm requirements, applicable policies and regulations that govern the GWM businesses. Prepare quarterly reporting for various senior management groups across GWM that address risk, efficiency, gaps, trends and key activity reporting (areas include: coding and limits for expenses, email review, registrations, partner firm requirements, management of business resource documents, training of sales personnel). Develop deep understanding of third-party partner firm and client standards to build efficient and effective processes and controls to ensure the business meets client requirements. Advocate for business objectives and needs while understanding the regulatory and risk concerns. Assist with any audits, compliance inquiries or corporate issues relating to US GWM Sales. Review and provide timely, accurate and thoughtful guidance to businesses when questions are raised. Help to facilitate new product launches in partnership with firm stakeholders.

Additional Information

Ref #: 31004.

Company info

PIMCO. (Pacific Investment Management Company)
1345 Avenue of The Americas 50th Floor
New York
New York
United States 10105-4800
Website : http://www.pimco.com