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Job Description

Company X, together with its subsidiaries, is a leading global investment firm that offers alternative asset management and capital markets and insurance solutions.

Company X is seeking a Compliance Manager to join the Compliance team with a focus on the administration of Company X’s compliance program for responsible investing, including the assessment and management of environmental, social, and governance (ESG) issues across the investment process as well as the interpretation, implementation and administration of new ESG regulations. The successful candidate will support firm-wide ESG compliance operations and initiatives by managing policies, processes, disclosure obligations, technology systems, and partnering with business leaders to identify and mitigate financial, operational, legal, regulatory and reputational risks. As the subject matter expert, you will take a key role in developing and conducting risk assessments, documenting processes, workflows, and providing ongoing operational and regulatory recommendations.

This role will be based in our XX office and will report to the Head of ESG Compliance and in close collaboration with the rest of the Compliance and the Sustainable Investing team within the Public Affairs team. The team provides global support to the Firm’s Private and Public Markets business lines and leads firm wide initiatives related to regulatory change management, monitoring and testing, as well as regulatory inquiries and exams. The Sustainable Investing team is responsible for facilitating the consideration of ESG, regulatory, and reputational issues throughout Company X’s investment process, including the management of Company X’s ESG-focused value creation programs for its portfolio companies. Given the importance of ESG engagement to the Firm, the successful candidate will have exposure to the firm’s senior leadership and have an opportunity to influence the firm’s approach to ESG compliance integration.

A successful candidate will typically have at least five years of experience gained within a Legal or Compliance team, with a demonstrated track record in ESG / sustainability / sustainable investment-related areas, ESG regulatory reporting, policy and procedure drafting; ESG regulations impact assessment and implementation, training, monitoring, testing and risk assessment.

Responsibilities

ESG Process and Policy Development

• Support the development of an ESG Compliance matrix including areas such as Sustainable Investment, new regulations and ESG commitments made to clients.
• Develop processes, procedures and policies on key select ESG processes.
• Test these processes, procedures and policies with relevant internal stakeholders.
• Assist with the roll out of these processes, procedures and policies by developing training programs and stakeholder information sessions.
• Provide periodic trainings and awareness sessions to key stakeholders in order to facilitate and increase compliance with key compliance processes.
• Perform annual review of compliance rules in the matrix by comparing them against new ESG processes and new fund documentation.

ESG Regulatory Compliance, Risk Assessment, and Testing

• Provide advice and guidance to the business and key stakeholders with regards to FCA, EU, SEC and other regulatory body ESG compliance regulations and updates; respond to ad hoc business requests for assistance by providing regulatory advice in line with regulations, and where appropriate, industry best practice.
• Identify, capture, channel and report on ESG trends, issues, development and stakeholder feedback related to policy, regulation and the market.
• Implement and execute on the global ESG Compliance testing and monitoring program (monthly, quarterly, annually), coordinating with global colleagues on the Compliance and Internal Audit team, and other control groups.
• Assist and advise all parts of the business with regulatory audits and investigations, whether from global regulators, or Internal Audit. This includes the preparation of mock exams and preparation for regulatory audits.

ESG Compliance Reporting and Regulatory Disclosures

• Develop and maintain a map of global ESG reporting requirements for Company X and its portfolio companies.
• Conduct research and quantitative analysis, producing presentations for internal and external use to contribute to the development and execution of ESG compliance processes, data analytics, and reporting on any global ESG regulations (e.g., SFDR, FCA ESG Sourcebook, CSRD, California Climate Rule, SEC Climate Disclosure Rule, and others).
• Assist with the implementation of regulatory development/change projects, working collaboratively with key internal stakeholders to facilitate appropriate impact risk assessments, gap analysis and to ensure implementation requirements are executed according to regulatory expectations.

Requirements

• Undergraduate degree with strong academic credentials and a minimum of 5 years of relevant work experience. CFA, MBA or JD preferred, but not required.
• Demonstrated experience in compliance or legal investment processes.
• Demonstrated experience in ESG / sustainability-related topics, ideally in a regulatory and compliance context.
• Self-starter, highly motivated and proactive, with strong verbal and written communication skills, including synthesizing research and conceptual work into actionable and presentable deliverables.
• Ability to independently manage multiple projects in a collaborative manner with multiple stakeholders through to completion in a dynamic and changing environment.
• Accountable, with a strong sense of professionalism and integrity.
• Highly organized, efficient and able to work to tight deadlines in a high-pressure environment.
• A strong stakeholder-focused orientation with the drive and enthusiasm required to achieve results and assume stakeholder satisfaction.
• Excellent interpersonal skills and the ability to build strong professional relationships at all levels, with both internal and external parties.
• Consistent attention to detail. Methodical, analytical, structured and rigorous approach to delivery.
• Maturity, presence, sound judgment, and ability to form and express opinions effectively to cross-divisional teams including senior management.
• Excellent proficiency in Microsoft Excel, PowerPoint, and other data analytics tools.

Compensation

This is the expected annual base salary range for this New York-based position. Actual salaries may vary based on factors, such as skill, experience, and qualification for the role. Employees may be eligible for a discretionary bonus, based on factors such as individual and team performance.

Base Salary Range

$130,000—$150,000 USD