Process Analyst; CFR) in West

Process Analyst
- Level 4

ONLY W2 (NO C2C/1099)

Contract:

4 months

Location:

New York City (5 days a week onsite)

Role Focus

The individual will work directly with stakeholders across multiple functional lines of business to research, review, update, and finalize policies and procedures. Strong communication and stakeholder-management skills are important.

Key Responsibilities

• Review existing investment-management policies and procedures.
• Research requirements and identify necessary updates.
• Align existing procedures with the new investment-management operating model.
• Work with stakeholders to finalize procedures.
• Make sure changes are thoroughly documented for audit trail purposes.
• Review and update approximately 120 processes/procedures.
• Coordinate with bank, control, risk, compliance, and investment-management stakeholders.
• Ensure procedures accurately reflect regulatory and operational requirements.

Must-Have / Strongly Preferred Experience

Strong preference for candidates with:

• Banking experience.
• Investment management/wealth management experience.
• Trust or securities experience.
• Bank controls, compliance, or risk-management experience.
• Policy and procedure documentation experience.
• Experience working with cross-functional stakeholders.
• Understanding of 12 CFR Part 9, particularly bank investment-management/fiduciary responsibilities.
• Familiarity with the Investment Advisers Act of 1940 / 40 Act on the RIA side is valuable.

EEO:

Mindlance is an Equal Opportunity Employer and does not discriminate in employment based on
- Minority/Gender/Disability/Religion/LGBTQI/Age/Veterans.