Director, Legal and Compliance

OMERS•New York, NY

17h•Hybrid

About The Position

This Director, Legal & Compliance, Infrastructure role, based in New York or Toronto, will assist with the compliance function for the OMERS Infrastructure business. OMERS Infrastructure, with over 100 investment professionals and US$29B+ in assets under management, is expanding its strategy to include investing with third-party investors and raising external capital. This expansion necessitates compliance with US SEC, UK FCA, and Australian AUSTRAC and AFS registrations/licenses, leading to increased complexity and critical compliance requirements. The role involves supporting and evolving a robust, sophisticated global compliance framework and strategy to accommodate OMERS Infrastructure’s growth. The Director will be accountable for team leadership, business relationship management, maintaining and developing the compliance monitoring program, supporting investment transactions, and managing policy and training initiatives.

Requirements

5+ years of regulatory experience relating to a sophisticated, fast-paced SEC RIA compliance program.
Experience at an asset/investment management organization preferred, or experience in a top-tier law firm specializing in regulatory matters.
Ability to understand issues and apply a commercially sensitive approach as a business’ trusted advisor.
Natural collaborator, able to build consensus and influence effectively by building strong, trusting relationships with colleagues and the business.
Leads by example and drives the organization's performance with a “can do” attitude of continuous improvement.
Exceptional interpersonal skills and ability to naturally connect and build strong relationships with others, demonstrating strong emotional intelligence and an ability to communicate clearly and persuasively.
JD or other law degree 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.
Liaise with infrastructure business leaders in New York and Toronto, developing a deep understanding of the business to act as a trusted advisor.
Coordinate with Legal & Compliance colleagues locally and abroad, as well as with peers in pension administration and other support functions.
Maintain, develop, review, and administer policies and procedures specific to the Infrastructure business.
Support the Chief Compliance Officer for an SEC-regulated subsidiary.
Support legal and compliance regulatory and reporting requirements to the SEC and other applicable regulators, including owning key regulatory filings (Form ADV, Form PF, state filings).
Support board reporting and other governance initiatives.
Support other global compliance initiatives and special projects.
Coordinate across deal teams, ESG teams, and compliance teams on portfolio company reporting.
Support the SEC-compliance testing program.
Monitor and assist in assessing and implementing new and emerging regulatory and legal requirements, instituting changes to the compliance program as necessary.
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 providing regulatory advice and reviewing marketing materials, presentations, and website content.
Monitor new and emerging regulatory and legal requirements and assist with changes to the compliance program as necessary.
Coordinate and support compliance policies, procedures, and tools on an enterprise-wide level.
Oversee and manage a New York-based compliance senior analyst.
Support the global compliance training program.