About the job Senior Compliance Analyst
Position Summary- This position provides support to the Compliance Manager and performs related activities. Assists in the design, implementation, and oversight of the Compliance Program for the Defined Benefit Pension Plans (the Plans) and helps ensure the Plans follow industry and regulatory standards (which may include but are not limited to Employee Retirement Income Security Act [ERISA], Generally Accepted Accounting Principles, Sarbanes-Oxley, and Security Exchange Commission [SEC] rules) as well as company policies and procedures. This position interfaces with the Investments staff with respect to new and existing investment activity (e.g., performs legal and operational due diligence on new investments) and advises project managers on contract documentation needed to support investments. This position coordinates with internal and external counsel, investment managers, and service providers to implement or modify legal agreements.
Position Responsibilities- Supervises the Compliance function related to the administration of the Plans.
- Reviews and advise on contract documentation and class actions.
- Assists in contract negotiations (e.g. IMA, LPA, vendor agreements, etc.).
- Ensures appropriate governance documents are executed.
- Manages Plans regulatory compliance requirements under ERISA, DOL, FATCA, SEC, and Dodd-Frank to ensure compliance.
- Oversees structure and usage of FactSet and Diligend file management systems, including ensuring relevant legal and compliance records (amendments, disputes, discovery), and operational due diligence reports are maintained.
- Completes Know Your Customer (KYC) documentation in relation to the Plans investments.
- Confirms applicability and compliance with foreign filing and tax reclaim requirements.
Minimum Qualifications:Please ensure the following qualifications are reflected in your resume to be considered.
Required:- Bachelor's Degree or international equivalent
- LLB/JD
- 1-2 years related work experience (i.e., compliance / legal) in a Defined Benefit (DB) pension plan environment.
- Must have excellent communication and interpersonal skills as you will work with all investments team members as well as internal and external counsel, investment managers, and service providers.
Preferences: - Bachelor's degree or international equivalent in Economics, Business.
- Related compliance / legal experience in a defined benefit plan pension environment.
Click the link below to see our growing list of available opportunities and how to apply.If interested, please apply directly from the job posting, or you may also send a copy of your most recent resume to
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