Senior Compliance Professional analyzing business requirements for Medicare compliance, conducting research, and implementing auditing plans for pharmacy operations. Cultivating relationships to minimize compliance risk across Humana’s pharmacy services.
About the role
- Compliance Manager overseeing compliance functions for SLGI Asset Management. Ensuring regulatory requirements are met and managing compliance processes effectively across the organization.
Responsibilities
- The SLGI Compliance Manager reports to the Director and Deputy Chief Compliance Officer and will join a motivated, results oriented and dynamic Compliance team.
- Assist with the administration of the Independent Review Committee (IRC) and required reporting.
- Responsibilities include but not are limited to collecting and reviewing supporting information from various functional groups, drafting reporting materials for the IRC’s review, and assisting with the coordination and management of IRC meetings.
- Administer Personal Trading Program activities such as onboarding and training Access Persons, monitoring pre-clearance requests and brokerage account statement review, preparing quarterly reports and addressing system related inquiries.
- Manage SLGI’s Compliance Training Program by developing and updating content, preparing communications for employees, tracking completion and attestations, preparing reports, evaluating training platforms options and recommending process improvements.
- Support and coordinate compliance responses to due diligence questionnaires, requests for information, compliance certificates and AML reporting requirements.
- Contribute to the optimization of compliance processes by investigating, recommending and implementing digital enhancements that increase efficiency within the compliance program.
- Participate in updating compliance policy updates and maintaining the Compliance Manual.
- Maintain and enhance SLGI Compliance SharePoint sites (internal and employee facing).
- Document updates to operating procedures for various compliance programs.
- Serve as a backup to the Director of Compliance and other compliance team members and assist in other duties as assigned.
Requirements
- 7+ years of compliance experience working in the securities industry for an Investment Fund Manager, Portfolio Manager and/or Exempt Market Dealer.
- Post-secondary education required
- Exceptional interpersonal skills and ability to negotiate at all levels of the organization.
- Fluent communication and business writing skills in English are required.
- Proficient in Microsoft applications with advanced Excel skills (proficiency with Pivot Tables and V-look ups)
- Experience maintaining and updating SharePoint
- Robust strategic thinking and problem-solving skills with ability to identify key messages, trends and process improvements.
- Ability to work independently as well as in a team and manage multiple priorities and timelines.
Benefits
- Hybrid work environment
- A friendly, collaborative, and inclusive culture
- 20 vacation days per year
- Flexible Benefits from the day you join to meet the needs of you and your family
- Pension, stock and savings programs to help build and enhance your future financial security
- The opportunity to move along a variety of career paths with amazing networking potential
- Access to our Global Learning Centre, available 24/7 for your learning needs
- Wellness programs that support the three pillars of your health – mental, physical and financial
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