Director, Legal and Compliance

OMERS • Toronto, ON

1d • $170,000 - $270,000

About The Position

Based in New York or Toronto and reporting to the Vice President, Legal & Compliance, Infrastructure, the Director, Legal & Compliance, Infrastructure supports the compliance function for OMERS Infrastructure. The role helps evolve a robust global compliance framework and strategy as the business grows in size and complexity, including in light of regulatory registrations and licenses associated with third-party investment and capital-raising activities.

The Director partners with and develops a geographically dispersed team of lawyers and compliance professionals in New York, London, and Sydney, as well as colleagues on the enterprise-wide team in Toronto, and manages a New York-based senior analyst. The role builds trusted-advisor relationships with infrastructure business leaders and collaborates with Legal & Compliance colleagues, other asset classes, and pension administration, legal, finance, and corporate support teams.

The position maintains and develops Infrastructure policies and procedures; supports regulatory filings, board reporting, compliance testing, and global compliance initiatives; and monitors emerging legal and regulatory requirements. It also provides compliance support for investment transactions, asset management, third-party capital programs, and asset syndications, and supports policy management and global compliance training.

Requirements

• At least 5 years of regulatory experience relating to a sophisticated, fast-paced SEC registered investment adviser (RIA) compliance program.
• Ability to understand compliance issues and apply a commercially sensitive approach as a business trusted advisor.
• Ability to build consensus and influence effectively through strong, trusting relationships with colleagues and the business.
• Ability to lead by example and drive organizational performance with a continuous-improvement attitude.
• Exceptional interpersonal skills, emotional intelligence, and the ability to communicate clearly and persuasively.

Nice To Haves

• Experience at an asset or investment management organization is preferred; experience at a top-tier law firm specializing in regulatory matters will also be considered.
• A JD or other law degree is preferred.

Responsibilities

• Partner with, support, and develop a geographically dispersed team of lawyers and compliance professionals in New York, London, and Sydney, as well as the OMERS enterprise-wide team in Toronto.
• Manage a senior analyst direct report based in New York.
• Build relationships with Infrastructure business leaders in New York and Toronto and serve as a trusted advisor to the investment team.
• Collaborate with Legal & Compliance colleagues in other locations and asset classes, as well as pension administration and legal, finance, and corporate support colleagues.
• Maintain, develop, review, and administer policies and procedures specific to the Infrastructure business.
• Support the Chief Compliance Officer for an SEC-regulated subsidiary and regulatory and reporting requirements to the SEC and other applicable regulators.
• Own key regulatory filings, including Form ADV, Form PF, and state filings.
• Support board reporting and other governance initiatives, global compliance initiatives, and special projects.
• Coordinate deal teams, ESG teams, and compliance teams on portfolio company reporting.
• Support the SEC-compliance testing program.
• Monitor and assess new and emerging regulatory and legal requirements and help implement necessary changes to the compliance program.
• Support North America deal teams on transaction due diligence, including anti-terrorist financing, anti-money laundering, sanctions, and anti-bribery and corruption due diligence and risk assessments.
• Provide asset management compliance support and ongoing compliance monitoring.
• Support third-party capital programs and asset syndications, including regulatory advice and review of marketing materials, presentations, and website content for regulatory compliance.
• Coordinate and support compliance policies, procedures, and tools across business units and jurisdictions.
• Support the global compliance training program.

Benefits

• May be eligible for an annual incentive award under the Short-term Incentive plan and Long-Term Incentive plan, if applicable.
• Participation in group benefits and retirement plans.
• Employee Resource Groups with executive leader sponsorship, a Purpose@Work committee, and employee recognition programs.

What This Job Offers

• Job Type: Full-time
• Career Level: Director
• Education Level: No Education Listed