Overview
Director, Legal and Compliance Jobs in Toronto, Canada at OMERS
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The Role
Based in New York or Toronto and reporting to the Vice President, Legal & Compliance, Infrastructure, this Director, Legal & Compliance, Infrastructure will assist with the compliance function for the OMERS Infrastructure business. With 100+ investment professionals, OMERS Infrastructure currently has US $ 29B+ of assets under management and 25+ investments across 4 continents. A key component of OMERS Infrastructure’s strategy includes investing with third-party investors and raising external third-party capital resulting in US SEC, UK FCA and Australian AUSTRAC and AFS registrations/licenses as well as increased complexity and additional critical compliance requirements.
This role includes supporting and helping to evolve a robust, sophisticated global compliance framework and strategy to support OMERS Infrastructure’s growth in size and complexity. More specifically, this leader will be accountable for:
Team Leadership
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. The role includes management of a senior analyst direct report.
Business Relationships/Trusted Advisor
Liaising with infrastructure business leaders in New York and Toronto. Develop depth of knowledge and immerse in the business to be seen as a trusted advisor with the investment team in OMERS Infrastructure.
Coordinate with and build on the strong collaborative environment with Legal & Compliance colleagues locally and abroad including in the other asset classes; peers in pension administration, legal/finance/corporate support colleagues supporting Infrastructure.
Compliance Monitoring Program
Maintain, develop, review and administer policies and procedures specific to Infrastructure business.
Support the Chief Compliance Officer for an SEC regulated subsidiary. Support the 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);
Supporting board reporting and other over governance initiatives;
Supporting other global compliance initiatives and special projects;
Coordinating across deal teams, ESG teams and compliance teams on portfolio company reporting;
Supporting the SEC-compliance testing program.
Monitor and assist in assessing and implementing new and emerging regulatory and legal requirements and instituting changes to the compliance program as necessary.
Investment Transaction Support
Support the North America deal teams on transaction due diligence, including Anti-Terrorist Financing, Anti-Money Laundering and Sanctions due diligence 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, review of marketing materials, presentations and website content to ensure compliance with regulatory requirements.
Policy Management and Training
:
Monitor new and emerging regulatory and legal requirements and assist with changes to the compliance program as…
Title: Director, Legal and Compliance
Company: OMERS
Location: Toronto, Canada
Category:
