Provide 1B oversight on the client Volcker Governance Program.
This includes working with 1B contacts in client to complete the quarterly reviews, obtain business document artifacts and lead the annual compliance attestation and business due diligence process for client.
In addition, maintain the inventory of Volcker rules applicable to each line of business and associated key controls. Liaise with compliance and legal contacts to support business queries on Volcker interpretation.
Support certain tasks related to trade management oversight.
Prepare quarterly materials and meeting minutes for the client Policy Oversight Committee and maintain the RPG team’s policy tracker to ensure policies are updated in a timely manner.
Compile quarterly and annual reporting for the Independent Review Committee of the client Funds.
Support the process to validate and obtain agreement of key regulatory controls with business owners.
Prepare and maintain key documents supporting regulatory compliance including compliance policies and associated procedures and incorporate reviews by multiple stakeholders.
Assess and address impacts and gaps related to any ongoing business or regulatory changes.
Support business on updating procedures for new processes/controls.
Support the Vice President & Director, RPG in ad-hoc tasks including reporting, procedure writing, tracking of issues, preparing training decks and tracking training attendance.
Establish strong relationships and maintain an interaction model with business partners, Compliance, and Legal.
Liaise with industry associations (Portfolio Management Association, Investment Fund Institute, Investment Company Institute, Investment Adviser Association and Securities Industry and Financial Markets Association) and industry contacts on compliance and policy matters including best practices, analysis, interpretation and execution.
Must have:
Governance background
Degree, preferably in business, finance
Asset management or fund management knowledge with relevant securities regulatory experience.
Expert knowledge of compliance policies and procedures preparation and regulatory rule interpretation.
Expert communication skills including writing skills.
Ability to exercise sound judgement in making decisions.
Collaborative working style and the ability to facilitate groups at all levels in a professional manner.
Ability to work independently and prioritize work while meeting multiple deadlines and are highly motivated.
MS Office Suite
Nice To Have:
Experience in or knowledge of the investment management business and investment industry regulations
Job Details12552Contract12 monthsToronto
Expected salary
Location
Toronto, ON
Job date
Wed, 23 Oct 2024 22:09:46 GMT
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