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Director, Compliance


Overview

Reporting to the Chief Legal Officer, the Director, Compliance, will assess and ensure compliance by all employees and external parties acting on its behalf in all jurisdictions where the company currently operates. The successful candidate will be responsible for establishing compliance policies and procedures, implementing training, assessing for corrective action and reporting to stakeholders including Investors, Board of Directors/Trustees and Senior Management. The position will ensure the organization meets company and global best-in-class industry standards for ethical conduct. The successful candidate will be a critical thinker with the ability to adapt to a continuously growing, creative enterprise committed to delivering superior returns without compromising the company’s fiduciary duty to its institutional partners.

Application

Qualified candidates can submit their resume to hr@wposborne.com

Duties and Responsibilities
  • Manage, implement, and monitor the creation and training of best-in-class, scalable, global compliance policies and procedures, including applicable governance requirements;
  • Formalize policies and procedures, design compliance controls, and establish governance/reporting mechanisms;
  • Develop and oversee the organization’s compliance framework include anti-bribery and compliance program; and implement policies and procedures to comply with legal requirements related to deterring, detecting, and reducing bribery, corruption, and related reputational risk;
  • Provide advisory services by researching and preparing responses to enquiries, information requests and/or audit/regulatory requests related to anti-bribery compliance;
  • Measure and evaluate compliance levels across the organization seeking constant improvement;
  • Monitor global and federal regulatory developments impacting the business;
  • Analyze rule proposals and amendments to assess business impact and ensure proper implementation of necessary controls;
  • Deliver periodic and regular reports regarding compliance related enforcement and implementation, including policy development;
  • Develop and maintain a sound knowledge of global regulatory, legal and business requirements, including a strong understanding of the common risks, roles and structures applicable to the compliance function;
  • Liaise with the regulatory bodies and other industry members on an ongoing basis in connection with audits, regulatory filings, fees and ongoing regulatory matters to better understand and influence appropriate regulatory change;
  • Recommend, coordinate and implement action plans for resolution of issues identified in relation to compliance vulnerability and risk, and provide guidance on issue prevention and resolution;
  • Oversee the resolution of all identified compliance issues promptly by conducting desk examination, attestation or other reviews and escalate concerns to management to ensure timely awareness of any material matters;
  • Anticipate/identify and analyze the risk and consequences of unaddressed risk factors/compliance gaps, and recommend appropriate controls;
  • Operate effectively within a high stress environment with constantly changing expectations including regulatory and audit scrutiny.
Requirements

The successful candidate will possess a post-secondary degree in a related field of study with strong experience understanding complex regulatory requirements and creating effective compliance programs; deep knowledge of North American, European and global regulatory environments; clear understanding of corporate risk tolerance; the ability to assess alternative action and make a decision based on the risk factors; the ability to exercise the highest ethical standards and prudent, risk-based business decision making; a demonstrated ability to strategize, communicate and implement efficiently across business divisions; exceptional written and verbal communication skills with proven ability to work independently and as part of a team in a fast paced, demanding, and adapting environment.

Location

Head office

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