Compliance Officer, P3

The Compliance Officer supports the execution of the Office of Investment Management's compliance programmes, ensuring adherence to policies and procedures related to investment activities. The role involves managing compliance alerts, conducting screenings, implementing training, and collaborating with auditors and other stakeholders to maintain integrity and mitigate risks within the investment portfolio.

Responsibilities

• Enhance the execution of OIM's compliance programmes.
• Create and update policies and procedures for disclosures to detect unusual activity, conflicts of interest and information management.
• Review OIM policies with compliance components and monitor related activities.
• Manage day-to-day operational aspects to ensure compliance, reviewing alerts and ensuring timely reviews and disposition.
• Perform screening, review and disposal of alerts related to reputational, regulatory or sanction concerns regarding investment activities and third-party engagements.
• Perform screening, review and disposal of alerts related to pre and post trade monitoring of internally and externally managed assets.
• Implement training programs for all OIM Staff to maintain established procedures and professional competency.
• Regularly review operational processes to identify and evaluate weaknesses in surveillance controls and strengthen processes.
• Create processes and controls for pattern analysis and statistical models to detect unusual activities and implement effective surveillance programmes.
• Develop information graphics and charts to provide a fuller risk picture.
• Sample trading transactions to ensure integrity of the surveillance process.
• Assist OIM's Compliance Officer in monitoring controls and identifying/mitigating potential issues for all OIM investment compliance policies and procedures.
• Maintain positive interactions and communications with OIOS and the Board of Auditors, facilitate audit examinations and finalize/close recommendations.
• Participate actively in OIM Business Continuity/Disaster Recovery Plan discussions and testing, especially related to data classification and data loss prevention.
• Streamline compliance assessment and capture processes, track material events and risk impacts, and drive accountability and visibility with compliance indicators.
• Perform other duties as required.

Requirements

• Advanced university degree (Master's degree or equivalent degree) in finance, accounting, legal, mathematics, computer science or economics or related field.
• A first-level university degree, in combination with two additional years of qualifying work experience may be accepted in lieu of the advanced university degree.
• Industry recognized credentials that are compliance related, or equivalent is desirable.
• A minimum of five years of progressively responsible professional experience in business ethics and corporate compliance is required.
• Experience with a large and diverse investment fund or investment management firm is required.
• Experience interacting with auditors or regulators is required.
• At least three years of experience with data loss prevention, data classification, Office 365, audit logs and IT compliance issues is desirable.
• At least three years of experience covering assets in structured finance, derivatives or private markets is desirable.
• Experience with investment tools such as Bloomberg or equivalent is desirable.
• Advanced proficiency in data management, including Excel and database applications is desirable.
• English language proficiency at UN Level II for reading, writing, listening, and speaking.

Skills

• Business Ethics
• Corporate Compliance
• Regulatory Compliance
• Audit Interaction
• Data Loss Prevention
• Data Classification
• Audit Logs Management
• IT Compliance
• Structured Finance
• Derivatives
• Private Markets
• Investment Tools Bloomberg
• Data Management
• Excel
• Database Applications Knowledge
• Investment Compliance
• Microsoft 365 Compliance

Languages

English