Enterprise Risk and Internal Controls Officer

The Position

The Enterprise Risk and Internal Controls is a function within Compliance responsible for developing and driving the firm’s compliance testing program, fostering a robust compliance, operational risk, and internal control structure and culture, and ensuring alignment with a global regulatory framework.

The Director of Enterprise Risk and Internal Controls, reporting to the Head of Enterprise Risk and Internal Controls, plays a critical role in maintaining, monitoring, and enhancing the firm’s compliance and operational risk management and control environment. This role supports and leads efforts to ensure processes are efficient, well-controlled, and aligned with regulatory expectations, best practices, and firm policies. This position will have significant interaction with all areas of the business and varying levels of management, as well as with the firm’s parent company’s Compliance, Operational Risk, and Internal Audit teams, and independent third-party audit firms. Additionally, this position will contribute to enterprise-wide initiatives related to internal control testing, risk assessments, regulatory readiness, and governance documentation. Success in this role means having an initiative-taking, hands-on, and collaborative attitude, with a readiness to take ownership and drive accountability for a variety of initiatives.

Responsibilities

• Assist in the management, coordination, and performance of executing various elements of the enterprise risk management framework in alignment with compliance and operational risk policies.
• Design, implement, document, and test compliance and operational controls, including expanding forensic testing activities to ensure adherence to regulatory policies and procedures.
• Perform comprehensive compliance and operational risk assessments, identifying exposures across investment operations, compliance, and support functions.
• Develop, monitor, and report on key risk indicators (KRIs); track risk events and facilitate root cause analyses to drive ongoing risk mitigation and governance enhancements.
• Maintain and refine the operational risk inventory and control mappings in collaboration with business and functional leaders.
• Manage model risk model risk documentation and validation processes, ensuring robust governance and transparency.
• Conduct walkthroughs and evaluations of front, middle, and back-office control functions to identify gaps, lead remediation efforts, and improve control effectiveness with process owners.
• Champion the automation and digitalization of risks, conflicts of interest, and control activities in ComplianceAlpha.
• Develop and maintain a comprehensive matrix of all compliance and forensic testing performed.
• Production of various monthly and quarterly Compliance reports to Natixis.
• Conduct related special projects/analysis on an as needed basis.

Qualifications

• Bachelor’s degree with 5-8 years of experience in internal controls, enterprise risk, compliance, or audit within asset management or broader financial services.
• Working knowledge of investment products, fund structures, and core operational workflows, with a willingness to deepen expertise over time.
• Familiarity with COSO, SOC, and key regulatory expectations, along with an understanding of the trade lifecycle, NAV processes, custody operations, and portfolio accounting fundamentals.
• Experience using GRC platforms (e.g., ACA, Archer) and comfort working with data and reporting tools such as Power BI.
• Strong written and verbal communication skills, with the ability to summarize findings clearly and engage effectively with stakeholders.
• Solid organizational abilities, demonstrating reliability in managing multiple priorities and meeting deadlines in a dynamic environment.
• Proactive, detail‑oriented, and adaptable, with a commitment to learning and contributing to continuous improvement.
• Demonstrates sound judgment and professionalism, with the confidence to raise issues and collaborate constructively across teams.
• Professional certifications (e.g., GRC, CIA, CRMA) are beneficial but not required.