PMG Controls Associate

Job Description

The PMG Controls Associate will support the PMG Controls team in executing governance, oversight, audit readiness, control modernization, and risk management activities across the PMG organization.

This role will help strengthen control execution, support key strategic initiatives, enhance documentation and governance disciplines, and contribute to the evolution of scalable, technology-enabled control frameworks.

The position offers broad exposure to Wealth Management platforms, regulatory and controls environments, and cross-functional partnership with Product, Technology, Operations, Compliance, Audit, and Business Management teams.

Key Responsibilities

Control Testing, Audit, and Evidence Coordination


* Support CORE control testing by helping coordinate walkthroughs, gather evidence, prepare samples, and track follow-ups with testing partners.


* Assist with audit preparation, including procedure reviews, evidence collection, walkthrough materials, and responses to audit inquiries or challenges.


* Maintain organized documentation for control reviews, audits, CCOR inquiries, and related control issue follow-ups.

Procedures and Control Documentation


* Help ensure PMG procedures remain current when processes, products, platforms, or operating models change.


* Track annual procedure reviews, approvals, and attestations, including follow-up with BAU process owners as needed.


* Assist in reviewing procedures for significant process changes and new initiatives to confirm risks and controls are clearly documented.

Error Review and Escalation Support


* Support the error resolution process by gathering facts, organizing timelines, tracking remediation items, and preparing recap materials for management review.


* Help monitor escalations related to investor inquiries, trading delays, Tell Us feedback, tax-smart items, and operational exceptions.


* Maintain action logs for open issues and help ensure timely follow-up across PMG, Operations, Technology, Compliance, and Business Management partners.

Governance and Committee Support


* Assist with preparation of Fiduciary Committee, Trust Committee, TPOC, and other governance materials, including metric collection, summary drafting, and submission tracking.


* Support recurring reviews of asset allocation deviations, highly restricted accounts, PTC/guideline updates, fair allocation, corporate action, and best execution metrics.


* Help coordinate meeting materials, pre-reads, follow-ups, and action items for monthly, quarterly, and annual governance routines.

Oversight and KPI Reporting


* Assist with recurring oversight meetings covering PBA, CWM/CW, IPB, transitions, TLH, composite performance, Ops KPI, PTC/guidelines, and error review routines.


* Prepare draft highlights, meeting notes, metric summaries, and management-ready updates for bi-weekly, monthly, quarterly, and semi-annual reviews.


* Help identify t...