Oversight Analyst Job Description
Oversight analyst
provides support to the SLGI Mutual Funds including the production of fund financial statements and regulatory reporting.
Oversight Analyst Duties & Responsibilities
To write an effective oversight analyst job description, begin by listing detailed duties, responsibilities and expectations. We have included oversight analyst job description templates that you can modify and use.
Sample responsibilities for this position include:
Partner with other teams within GSAM and Global Shareholder Services on key regulatory and operational risk related initiatives
Drive initiatives by identifying key stakeholders and building consensus within group to achieve strategic solutions
Facilitate review of Shareholder Services Policies and Procedures
Manage the Fund Prospectuses review team
Research inquiries from Legal and Compliance
Manage the Shareholder Services Distributor Due Diligence Program
Perform or assist in periodic audits and risk based reviews to evaluate effectiveness of internal controls
Communicate status and results of initiatives to management in clear and concise manner
Coordinate best practices with offshore offices (London, Japan, Australia)
Coordinate global GSAM Information Protection program
Oversight Analyst Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Oversight Analyst
List any licenses or certifications required by the position: CAMS, PMP, CFE, CISSP, CFA, FRM, CIP, SAS, PM, CISA
Education for Oversight Analyst
Typically a job would require a certain level of education.
Employers hiring for the oversight analyst job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Primary Degree in Finance, Business, Accounting, Management, Economics, Education, Statistics, Communication, Project Management, Financial Services
Skills for Oversight Analyst
Desired skills for oversight analyst include:
Regulations
Consumer finance industry
Mortgage
Servicing insurance
Applicable laws
ETFs and non-registered products
Financial services
Fund accounting and reporting for mutual funds
Processes and Procedures:
Risk Management Policies
Desired experience for oversight analyst includes:
Oversee hedge fund trades to ensure accurate trade-flow reporting
Act as liaison between sales channel and internal groups
Implement process improvement/enhancement
Lead ad hoc projects within the Department
Working knowledge of the following mutual fund applications DST Vision, Surpass(sub-accounting), Advisor Central
Advanced technical knowledge/experience with all Microsoft office applications
Oversight Analyst Examples
1
Oversight Analyst Job Description
Job Description Example
Our innovative and growing company is looking for an oversight analyst. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for oversight analyst
- Prior to issue closure, confirm and and validate the soundness and sustainability of action plans
- Partner with various teams across GSAM on key regulatory and operational risk related initiatives
- Faciliate the divisional Vendor Management Program
- Manage the creation and maintenance of both new and existing RCSA process maps to support the Risk Controls Self Assessment process
- Develop and document clear and detailed business process maps including business steps, data utilization, interfaces, governance and systems according to mapping standards in bank-wide management tool (igrafx)
- Document risks and controls related to each process and add those data elements into bank-wide management tool (igrafx)
- Support business in identification of progress gaps, process improvements, and automation opportunities through mapping activities
- Break down organizational barriers to ensure that project teams are effective in reaching project resolution
- Serve as Change Agent and contribute to the Continuous Improvement Culture
- Partner with Controls peers and Process partners to ensure efficient and effective results that will support the RCSA process
Qualifications for oversight analyst
- 5 years business problem analysis experience, business systems planning, consulting, and design, and data processing
- Expertise in utilizing SAS or SQL, Oracle and MS Office analysis tools
- Minimum of 5-7 years of experience in Controls, Operational Risk, Audit or a Merchant Services LOB required
- Proactive and highly motivated person who will take the initiative and is able to manage unstructured activities
- Capital markets knowledge, operational risk management experience and an understanding of the TDBG’s Operational Risk Framework would be considered assets
- Minimum 3+ years experience in Microsoft Office Suite, including but not limited to Project ,Visio, and Access Database
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Oversight Analyst Job Description
Job Description Example
Our company is looking for an oversight analyst. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for oversight analyst
- Working with Legal, Comipliance, Risk and Card Controls teams to continue to improve and evovle the Issue Management process
- Collaborating with x-LOB Issue Management peers to share and leverage best practices
- Managing all related communication (in take and output)
- Managing Issue Management reporting requirements
- Develop and implement standardized exam management protocols
- Help identify the root cause of control and process breaks related to exams
- Manage and track major milestones during action plan implementation
- Monitor CCS exam remediation efforts
- Prior to issue closure, confirm and validate the soundness and sustainability of action plans
- Actively partner with functional support teams
Qualifications for oversight analyst
- Must have requirements gathering experience
- Must have experience creating a Project Plan, Project Charter, and WBS (Work Breakdown Structure)
- Project Management skills to include experience in executing projects from beginning to end and mid stream
- Schedule & evidence management (e.g., follow up related to evidence collection and validation
- Change request management (e.g., master log of approved and pending changes
- Maintaining integrity of Risk & Issue process (i.e., capture and timely resolution
3
Oversight Analyst Job Description
Job Description Example
Our growing company is looking to fill the role of oversight analyst. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for oversight analyst
- Develop appropriate MIS to track the progress of action plans so as to ensure completion within stated timeframes
- Oversee and implement new FICC mandates which includes interpreting complex client investment restrictions (on asset class, asset allocation, diversification, derivatives risk management, hedging strategies, leverage etc) and converting them into accurate trading rules while also documenting the restrictions for reference
- Work with the Lead Portfolio Managers, Trading and Portfolio Oversight teams globally (including New York, London and Singapore) to maintain accounts
- Resolve trader pre-trade queries and assist them with implementing corrective trades to issues picked up during pre and post-trade monitoring
- Work on projects to review the investment guideline coding implementation of long standing portfolios with the objective of identifying gaps, making the rules more accurate via stronger coverage of client restrictions and getting signoffs from respective portfolio managers
- Work with other areas of GSAM (Sales, Legal, Compliance, Operations) to drive the completion of open issues related to account events and with Technology to implement new software and systems
- Work to improve overall process flows and maximize efficiency
- Lead entry of CCB Operations Issues into Phoenix
- Liaise with multiple LOBs and stakeholders on an ongoing basis
- Set and continually manage deliverables including those of cross LOB and functional area stakeholders
Qualifications for oversight analyst
- Partners with all other control disciplines, adding an additional line of defense supporting Compliance, Risk and Audit, among others
- Works in partnership on centralized view of and from all control functions, assisting in immediate, real time problem detection and escalation
- Control Analyst will be part of an independent team that performs proactive testing and validation on CCB controls, processes and procedures
- Analyst assists management with all audits for from Corporate Audit, Compliance, OCC
- Coordinates development and tracking of action plans and target dates stemming from regulatory and/or business audits
- 1-2 years experience in Controls, RCSA testing, or Bank Operations
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Oversight Analyst Job Description
Job Description Example
Our growing company is looking for an oversight analyst. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for oversight analyst
- Identify and resolve issues and conflicts across different LOB stakeholders
- Identify and manage Issue/AP dependencies
- Plan, schedule and track timelines and milestones using appropriate tools
- Proactively manage changes, identify potential crises, and devise contingency plans
- Conduct issue management post mortems and create a recommendations report in order to identify successful and unsuccessful elements
- Leading Card action plan closure meetings, driving towards appropriate disposition of all items submitted for consideration
- Ensuring documentation supporting the approval of risk acceptances and closure of action plans is stored in accordance with Issue Management procedures
- Perform other Surveillance-related duties as assigned
- Carry out morning checks and notify Portfolio Manager's of any issues resulting in incorrect front office positions
- Proactive resolution of queries received from the Portfolio Managers
Qualifications for oversight analyst
- Exceptional organization Skills, ability to manage multiple tasks and projects, driving toward due dates and deliverables
- 5+ years of experience in Operational Risk, Controls, Audit or Operations
- Strong and effective communication and collaboration skills to develop relationships with various business and support groups
- Good knowledge of Fixed Income and Currencies required (broader understanding of interest rates, MBS, High Yield, Emerging Market Debt, Derivatives preferred)
- Previous experience of working within Asset Management is strongly preferred but alternatively, Operations (covering Fixed Income) or a Compliance background would be suitable
- Good technical skills (previous experience of using Sentinel, Charles River or Thinkfolio would be ideal)
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Oversight Analyst Job Description
Job Description Example
Our company is hiring for an oversight analyst. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for oversight analyst
- Understand the risk to the business of Front Office impacting issues and errors and ensure root cause analysis and action plans are understood and appropriate
- Assist with the resolution of escalated Cash & Stock Custodian breaks
- Maintain daily, weekly, & monthly statistics, provide analysis and commentary on movements
- Working on projects where required and driving change forward
- Liaison with other internal & external vendors were appropriate
- Support and cover for the wider team when colleagues are on holiday or during period of extensive volume
- Produce, analyse and distribute reports
- Interacting with and overseeing the work performed by the JPMAM offshore team
- Financial reporting and disclosure controls – coordinating cross functional sub-certifications in regards to Sarbanes Oxley requirements
- Governance/Board Reporting – coordination of materials to summarize oversight results to Funds’ governing bodies, including Governance Committees and the Funds’ Boards of Directors
Qualifications for oversight analyst
- SharePoint Designer, CSS, HTML language knowledge/experience preferred
- Proficienct in MS applications, particularly MS Excel
- Good team player and strong leadership skills
- Finance related qualifications preferable
- CFA charterholders or candidates in CFA level II or III would be a plus
- Knowledge/experience with Phoenix