Project Manager Compliance Systems
3 days ago
The Corporate Compliance Program Manager administers ongoing activities to support controls based compliance programs (e.g., investment advisory and mutual fund compliance programs) and coordinates compliance department activities in support of firm and fund governance, including but not limited to committee governance, policy governance, and board governance.
Principal Responsibilities:
Primary functions will include, but are not limited to:
Monitoring:
- Coordinate compliance control testing and policy/procedure reviews with auditors and outside counsel, as appropriate. Communicate requirements and expectations to impacted business areas and facilitate internal and external reviews. Resolve issues and concerns identified and escalate appropriately.
- Monitor regulatory changes to identify those that require enhancements to compliance program policies, procedures and controls.
- Coordinate governance surveys to ensure regulatory issues are reported in a timely manner. Evaluate the completeness of responses and follow up as appropriate to request additional information. Perform initial evaluation for further reporting and escalation.
- Collaborate with business units to provide guidance for the resolution of compliance matters and to address regulatory developments. Develop and document new procedures and controls as needed.
- Prepare and review tailored responses to compliance related due diligence requests from our clients. Involve appropriate subject matter experts and escalate concerns as appropriate.
- Manage processes to develop and deliver reporting to the firm's boards of directors and the parent company. Serve as primary point of contact for board and corporate deliverables. Prepare initial drafts of and review compliance reports prior to submission as required.
- Coordinate the Compliance Department's activities with respect to committee and policy governance; administer the firm's Internal Compliance Controls Committee's activities, in particular.
Qualifications :
- Bachelor's Degree or equivalent work experience. Must have at least nine years of work experience, within investment management or financial services compliance. Strong working knowledge of investment management operations and advisory functions and related rules and regulations is required as is expert knowledge of subject area within scope of position.
- Must be able to write effectively, and present research, analysis and conclusions in a persuasive manner in order to effectively drive solutions throughout the organization
- Proven analytical skills. Make independent decisions, develop creative solutions to problems, advocate for same and manage the implementation through to acceptance.
- Assume ownership for the delivery of projects while also operating successfully in a cross-functional, often international, team environment.
- Experience with reviewing, evaluating, designing and implementing key compliance functions, including risk-based monitoring programs, user manuals and personnel training.
- Represent the firm at meetings, conferences or related industry events. Participate directly with regulators during examinations.
- Some periodic travel, domestic and international, is required.
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