Investment Controls Consultant for Private Wealth – Atlanta

JOB PURPOSE

This position is a centralized role within account administration that will be responsible for the stewardship of investments by performing the oversight necessary to ensure the consistent implementation of Atlantic Trust’s investment platform across all offices and accounts. This position is responsible for identifying, measuring, controlling and monitoring the firm’s operational risk for the font office. In particular, individuals will be concerned with limiting exposures due to risks such as those resulting from human error, unsupervised trading, transaction processing failure, monitoring weaknesses, threats to information systems, data integrity and fraudulent activities.

KEY ACCOUNTABILITIES

* Collaborate effectively with relationship managers and client service teams to ensure consistency in investment implementation.

* Act as a resource consultant and Subject Matter Expert (SME) for relationship managers and client service teams to assist them with efficient and effective investment implementation and management.

* Review and ensure adequate documentation is recorded for exceptions related to account portfolios including concentrations, off-list holdings and unique assets.

* Ensure appropriate plans and timely implementation of the same for diversification of concentrations, off-list holdings and unique assets where appropriate.

* Work with business line management to identify investment implementation risks.

* Partner with enterprise support functions (Technology, Operations, Human Resources, Compliance) to develop, implement and maintain streamlined account investment management procedures.

* Report issues and findings to Office Heads and Senior Management.

* Work with Compliance, Risk Management and Internal Audit to remediate findings.

* Design and monitor controls and evaluate the effectiveness of such controls.

* Provide semi-annual reporting to AT Operating Committee and assessment of adherence to investment platform, concerns, emerging risks.

* Staff undertake relevant audit testing to determine the effectiveness of the control environment and provide recommendations to improve processes and controls where necessary.

CROSS-FUNCTIONAL RELATIONSHIPS

* Relationship Management and Client Service teams

* Atlantic Trust Investment Team

* CIBC Infrastructure partners (Technology, Operations, Compliance, Internal Audit, Risk Management)

COMPLIANCE REQUIREMENTS/RESPONSIBILITIES

* As an employee of CIBC, the incumbent must comply with all applicable CIBC and Line of Business policies, standards, guidelines and controls.

AUTHORITIES/DECISION RIGHTS

* As a key independent contributor to the business unit, this job has the authority to recommend changes to business processes in order to enhance operational efficiency and effectiveness.

KNOWLEDGE AND SKILLS

* Bachelor’s degree required, finance or related field preferred

* 5+ years’ experience in investment management, client management, compliance, audit or trust and account administration

* An expanded knowledge of investment account administration, setting and implementing policies and procedures and fostering collaboration

* Proficient with Microsoft Office and experience with multiple trust and investment management software applications

* Strong team orientation, client service orientation, verbal and written communication skills, analytical and problem solving skills

* Excellent judgment and ability to work independently

* Strong understanding of the processes and controls of various business areas and assessing the risks associated with these various processes

WORKING CONDITIONS

* This role operates within a normal office environment with little exposure to adverse working conditions.