Description
We are seeking a Business Manager to define and help drive performance and efficiencies for the Enterprise Compliance and Risk Programs (ECRP). This position is at the Vice President level and reports directly to the Chief Compliance Officer (CCO). This role is responsible for delivering practical solutions in an agile and hands-on fashion.
Responsibilities
Governance
Serve as Corporate Secretary for Committees chaired, co-chaired, or driven by Compliance, Risk and Internal Control Committee (CRIC) (committee of the board), Compliance Committee and Risk Committee (CRC), and Compliance Management Committee (Compliance CoDir).
Implement an improved Governance framework, finding opportunities for streamlining content and supporting effective decision-making and an appropriate record of decision-making from one committee to the next (e.g., from the level of the CoDir to the CRC to committees to the CRIC); design and implement a governance calendar to ensure timely distribution of materials and minutes.
Consolidate, draft and prepare high-quality and actionable materials for the various Committees using existing reporting and coordinating submissions from CoDir members.
Maintain Committee membership lists, records, and archives.
Department Management
Develop and execute a framework to align with Policy requirements, including launching a Committee on Policies and Processes to ensure a common format, annual reviews, validation, and record-keeping of Global Policies.
Prepare and maintain ongoing updates to ECRP presentations coordinating contributions with CoDir members. Maintain department distribution lists and Affiliate CRIC membership lists.
Track, and coordinate Human Resources matters with Regional Heads and Compliance staff across the Affiliates; handle new hire approvals with Compliance; coordinate annual CCO performance appraisals.
Manage annual update of Affiliate compliance ratings with support from CoDir members.
Oversee preparation of the Compliance budget; provide CoDir members with quarterly updates on department budget and coordinate CEO & CFO approval of consultants, as the need arises under policies.
Maintain and track the progress of CoDir annual objectives and achievements and department project list.
Serve as the primary point of contact for Compliance, assist the department in assessing the impact of requests for and Affiliates, and coordinate consolidation of responses. Maintain a calendar of recurring deliverables.
Prepare presentations and correspondence for the CCO.
Special assignments: serve as project leader for strategic initiatives. Examples could include:
Review and assess opportunities to align and incorporate affiliate reporting to the distribution platforms.
Represent the CCO on internal and external committees and steering groups from time to time, as needed.
Collect, track and prepare quarterly and annual reviews of compliance training and education offered at the Affiliate level and by Compliance to Affiliates (e.g., quarterly webex, compliance seminars; regulatory workshops, etc.); support CoDir members in preparing webex and seminars.
Qualifications
7 + years experience in financial services, preferably asset management
Fully bilingual in English and French – written and oral
Excellent writer; ability to distill details and complexity into executive-level messaging
Proven ability to influence key stakeholders
Demonstrated project management skills and leadership of complex projects across multiple functions/entities
Proficiency in MS PowerPoint and Excel; familiarity with reporting/project management tools a plus
Ability to multi-task and maintain strong attention to detail and deadlines
Self-starter who takes initiative
This employer is an equal opportunity employer and does not discriminate in recruiting, hiring, training, promotion, or other terms, conditions, and privileges of employment on the basis of race, color, age, national origin, ancestry, religion, sex (including pregnancy), sexual orientation, gender identity, genetic information, military or veteran status, physical or mental disability, or any other status protected by law.
TO APPLY - Please forward resume and compensation requirements to Mark Custer at mcuster@pailingroup.com
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