Summary of Responsibilities:
The Compliance Officer -Investments/Risk Management is an experienced sole contributor that assists the Chief Compliance Officer (CCO) in the management of compliance processes in support of Fort Washington Investment Advisors, Inc. (FWIA). Provides compliance oversight, regulatory guidance instituting effective governance and risk management practices. Partners with (CCO) and Senior Management in the development and application of strategic vision for the culture of compliance for a SEC registered investment adviser. The Compliance Officer-Investments/Risk Management is responsible for assisting the (CCO) in maintaining regulatory, risk, and governance oversight by analyzing, and establishing internal controls. The Compliance Officer-Investments/Risk Management owns and leads compliance program activities, including oversight of business requirements and internal controls for Fort Washington’s primary lines of business, liaising with senior management and departmental management, supervising the conduct of needs analysis’ and coordinating the reviews of client and vendor agreements, policies and procedures, and complaints. In support of the (CCO), the Compliance Officer-Investments/Risk Management manages business risks by coordinating and leading compliance projects and monitoring of compliance and regulatory governance requirements. The primary focus of this position is to ensure compliance-related investment and quality assurance processes are managed and regulatory and client risks are sufficiently mitigated in a timely manner. The Compliance Officer-Investments/Risk Management assists in the management of compliance oversight related to client's investment policy statements including social and environmental responsible investing and remediates areas of non-compliance. The Compliance Officer-Investments/Risk Management collaborates with the (CCO) in attending and supporting various governance oversight committees, manages multiple deadlines, responds to requests from regulators, responds to moderately complex compliance questions, leads project teams, and works in a semi-autonomous fashion with limited daily supervision, making a broad range of critical decisions. The Compliance Officer-Investments/Risk Management additionally manages the preparation of reports or other actions requested by the parent entity, Western & Southern Financial Group (W&SFG), for presentation to Fort Washington's Board of Directors.
Computer Skills and Knowledge of Hardware & Software Required:
Certifications & Licenses (i.e., Series 6 & 63, CPA, etc.):