The Senior Compliance Professional serves as a compliance liaison with finance, operations and information technology for North America, focused on facilitating key compliance activities related to Sarbanes-Oxley for the financial/operations and information systems environments.
The Manager of Global Quality Compliance is responsible for verifying compliance with cGMPs, international regulatory requirements and established internal policies. This position ensures that executive management is aware of compliance business risks and regulatory requirements.
Responsible for administration of the asset management Code of Ethics program, which includes personal trading, gifts and entertainment, outside business activities, employee training and SEC Pay-to-Play.
Develop, maintain and manage ongoing Compliance Monitoring Program which measures the level of compliance with established policies, procedures and guidelines as well as those third parties performing services for or on behalf of the organization.
Provide EHS compliance management support to a wide variety of industrial clients, including, but not limited to, developing SPCC and SWPP Plans, preparing Tier II and TRI reports, developing EHS programs and procedures and providing training.
Work with the global Process Leads in designing, maintaining and continuously improving the global standard set of risks and Internal Controls for the company; liaise with KPMG for impacts across all areas of responsibility on ICOFR audits.
Managing the transition of new Clients, including developing and monitoring workplans/timelines, defining data requirements, and overseeing the setup of the tax preparation software and other compliance/technology tools