Job Details:

• The Investment Advisory (IA) Governance team provides comprehensive fiduciary oversight for the Firm’s investment advisory programs and platforms.
• This includes maintaining a robust risk?control framework aligned with firm policies, regulatory expectations, emerging risks, and evolving market dynamics that influence business strategy and advisory practices.
• This role supports the Wealth Management investment advisory programs within the Platform Governance organization.
• Key responsibilities include reviewing and responding to program policy and procedure inquiries, as well as evaluating investment andmaintenance related requests for client accounts in accordance with established guidelines.
• The position partners closely with internal colleagues across the Investment Solutions Group (ISG), field leadership, and financial advisors to deliver platform oversight and monitoring functions for the Firm’s advisory products.
• The associate will analyze accommodation requests to ensure alignment with policy and regulatory standards, oversee adherence to business policies, and support the implementation of an effective governance structure for investment advisory programs.
• The Business Governance Specialist is expected to proactively manage issues and inquiries, conduct research with internal business and technology partners, and ensure timely and accurate resolution.
• As a primary point of contact for advisors, field offices, and internal management teams, the individual must be confident communicating across all levels of the organization.
• The role requires a strategic mindset, the ability to identify process, procedural, and technical enhancement opportunities, and participation in project leadership and
• execution.