Job DescriptionAssociate Director, Risk & ComplianceThe RoleAssists the Director, Risk & Compliance in the provision of regulatory compliance services, applicable to a registered investment adviser and broker dealer, to all business units within the IFM Investors Group
Strategic Planning- Assist in the management of IFM's compliance program and strategic initiatives with a focus on regulatory requirements, new product development and other obligations:
- Provide compliance advisory services to business units with respect to rules, activities, and best practices
- Contribute to other strategic projects including advisory work associated with new product development and implementation
- Collaborate with stakeholders to monitor and track the compliance and regulatory requirements of new products
- Strengthen the new product framework and process from a compliance perspective to ensure robust identification, assessment and monitoring of any regulatory issues
- Manage regulatory filings including Form ADV, Form PF, Form Ds, OSC filings, routine broker dealer related filings such as U4s, U5s
- Manage annual compliance reviews for registered investment advisers and a broker dealer
- Assist with a global compliance monitoring plan as it relates to internal risk and compliance reporting including Code of Ethics reporting, expense allocations, deal allocations, AML queries, marketing material review, etc.
- Review marketing and brand documents for compliance with advertising rule requirements from a US and Canadian perspective
- Assist with initial, annual and ad hoc compliance training
- Monitor regulatory change as applicable to IFM Investors
- Act as a secondary point of contact for regulators (e.g. SEC, FINRA, OSC, etc.).
- Assist with AML compliance obligations and queries including investor onboarding and KYC issues
- Update policies and procedures
- Engage and manage service providers including compliance consultants and outside counsel
- Collaborate with global stakeholders to ensure consistency in approach with respect to executing the compliance program
- Other responsibilities as required
Business Performance- Provide timely expert advice to stakeholders on compliance-related matters
- Coordinate and liaise with key internal stakeholders to successfully deliver projects within deadlines
- Assist in the development of Risk & Compliance team members and the overall capability of the function, which can include training and mentoring staff
Policy and Process Management- Oversee and contribute to the development and maintenance of IFM Group policies and procedures to ensure effective compliance and risk management outcomes are achieved
Your Background and Experience- Significant financial services industry experience in compliance roles with a registered investment adviser and/or broker dealer
- Sound investment, financial market and product knowledge
- Minimum 10+ years of compliance advisory experience with specific involvement in new product development from design to launch
- Tertiary qualifications in law, IT, commerce, accounting, finance, economics, or related field
- May have post-graduate qualifications
- FINRA Series 7, 24 and/or 14 licenses a plus In-depth understanding and knowledge of the market and products offered or to be offered by IFM Investors
- Understanding of regulatory requirements as they relate to IFM Investors investment and governance processes
- Strong understanding of investment management processes.
- Sound understanding of US and Canadian laws, regulations and governance requirements as they relate to IFM Investors
- Experience in monitoring, reporting and applying regulations to business practices (e.g., evaluating new and existing products, applying a Code of Ethics to areas such as personal trading, market abuse, gifts and entertainment, and political contributions; marketing material reviews)
- Strong knowledge of products that are globally distributed (ideally across the infrastructure equity and/or infrastructure debt strategies)
- Knowledge of private funds industry, broker dealers or other closely related industries
- Strong writing and presentation skills and keen attention to detail
- Interest in joining and adding value to a global team with the ability to communicate effectively across jurisdictions
- Proficient with Microsoft products and the ability to manipulate data
- Experience preparing and submitting regulatory filings including U4s, Form ADV, Form PF, FRB forms, Form Ds, etc.
The anticipated base salary range for this position is listed below. Exact compensation amount may vary and will be determined by several components including but not limited to the individual's experience, skills and qualifications. Total compensation for this role includes eligibility for a discretionary performance-based bonus.
$200,000 - $240,000
IFM also offers robust benefits offerings which include but is not limited to Comprehensive Medical, Dental and Vision plans (significant employer subsidy), 401(k) program with company match; Flexible Savings Accounts (FSA), Life Insurance, Long-Term Disability (LTD) and Short-Term Disability (STD) Insurance; Employee Assistance Program (EAP), Commuter Benefits and Headspace subscription.
Ready to invest in what matters?With IFM, that includes your own career. Visit ifminvestors.com/careers to find out more.
