The Corporate Compliance Program Manager administers ongoing activities to support the firm's controls based 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.
Advisory :
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.
Governance :
Manage processes to develop and deliver reporting to our board of directors and to the same of 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.
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