Company, Inc. is seeking an experienced and Senior Global Chief Compliance officer to architect, integrate, manage and oversee compliance programs and teams across all of Company’s regulated entities in the United States and international jurisdictions. The role also involves (i) further developing Company’s compliance policies and practices around AML, KYC, FCPA and similar regulatory requirements outside of the United States that are applicable to all of Company’s global operations, and (ii) conducting periodic evaluations of Company’s enterprise risks and its progress with risk management activities. Company operates regulated investment advisory, credit rating and index businesses globally, as well as mutual funds in the United States and Australia and a broker-dealer in the United States. Regulated businesses currently operate in the United States, Canada, the United Kingdom, Australia and seven other international jurisdictions. The position will involve interaction with management at the most senior level and with the Board of Directors, as well as senior regional business, product and compliance teams. The successful candidate will have extensive experience in overseeing broad-based compliance programs and overseeing a large global compliance organization. This role is currently based in Chicago, IL, and reports to Company’s General Counsel.
- Overall responsibility for the design, implementation and effectiveness of compliance programs across the company’s and its subsidiaries’ businesses.
- Oversee periodic enterprise risk management evaluations intended to identify, assess, monitor and mitigate risks that may affect Company generally, so they are managed within acceptable risk tolerance levels.
- Leading and further developing a high performing compliance team that is execution focused and disciplined in approach.
- Working in partnership with Company’s regional chief compliance officers, the Chief Compliance Officer for the Company Mutual Funds and the Global Chief Compliance Officer for DBRS Company, Company’s credit ratings business, to create a consistent and effective global compliance program.
- Serving as a technical resource for business and product managers regarding compliance and/or regulatory matters.
- Evaluating the company’s products, services and operations for compliance and ethics issues.
- Maintaining a thorough understanding of, and keeping abreast of developments in, laws and regulations globally that impose compliance obligations on Company’s products and services.
- Collaborating with business compliance teams in interpreting new laws/regulations and developing a strategy to follow such laws/regulations within the required regulatory timeframe.
- Mentoring other compliance professionals on their work and management activities and their career development and goals.
- Promoting a culture of compliance by fostering an environment of open and honest communication with all employees of all levels -reinforcing the importance of conducting oneself in an ethical manner and in the best interests of clients.
- Driving operational efficiencies by setting measurable goals and working on leveraging and deploying new and existing technologies to improve efficiencies in the compliance programs across the organization.
- Preparing materials and making presentations to Company’s senior management or their staff as requested.
- Preparing materials and making presentations to the Company Board of Directors, Audit Committee and other governing bodies and committees about compliance/regulatory matters.
- Representing Company with US and international regulators and overseeing the interactions with such regulators, including the SEC, FCA and ESMA with regard to exams and other regulatory matters.
- Overseeing the preparation and submission of all regulatory filings for all regulated entities.
- 15+ years’ compliance experience in a compliance department of a large asset manager, registered investment advisor, or broker-dealer
- Exceptional experience in managing global compliance teams across multiple business lines and geographies
- Strong analytical and communication skills
- Strong attention to detail
- Appropriate level of assertiveness, maturity and guidance to effectively project the stature and importance of the compliance function across the organization
- Superior judgment and rigor in relation to problem solving and appropriate escalation of issues
- Demonstrated ability to work efficiently and independently, prioritize workflow, meet demanding deadlines, and manage multi-faceted projects in a fast-moving environment
- Willingness to work across time zones globally
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