[Hiring] VP, Corporate Compliance @SitusAMC
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Role Description
- The role will assist the compliance team to ensure operations for SitusAMC are conducted in adherence with regulatory, contractual, and internal policies requirements, including:
- Ensuring tasks and activities are carried out in accordance with correct records and completed within the proper timeframes
- Suggesting areas of improvement for activities, issues, and training requirements
- Outlining procedural enhancements and requirements for policy adherence
- Auditing business compliance with Policies & Procedures and Business Workflows
- Essential Job Functions:
- With the assistance of the Information Security Department, monitor activities to ensure company compliance with various policies and procedures
- Perform on-going AML and KYC checks on Clients and Vendors
- Ensure licenses and authorizations registrations (e.g. data protection) are up-to-date
- Monitor potential conflicts of interest to ensure appropriate protocols are in place and being observed
- Assist in monitoring of Gift and Entertainment Disclosures
- Control the maintenance of insider list, as required
- Participate in the drafting and review of the appropriate Compliance Handbook and policies and procedures
- Serve as central repository for original documentation to be archived on-site, update documentation tracker with all relevant documents
- Assist the completion of client information requests (via Client Audits request or KYC inquiries on SitusAMC)
- Assist in ensuring the roll-out of the annual compliance training and follow-up on completion
- Other activities as may be assigned by your manager
- Qualifications
- Degree in relevant or transferable field of study or equivalent combination of education and experience (business, finance or legal)
- 8+ years of industry and/or relevant experience, ideally 2+ years in a co-lead or strong supportive role
- Experience in residential and commercial mortgage regulatory compliance strongly preferred
- Compliance experience in due diligence environment required
- Demonstrates applied knowledge of US regulations
- Experience reviewing and analyzing contracts, laws and regulations preferred
- Proficiency with Microsoft Office products
- Strong communication (written and oral) skills
- Strong analytical ability, good judgment, strategic and multidimensional thinker
- Detail oriented and organized
- Benefits
- The annual full time base salary range for this role is $130,000.00 - $150,000.00
- Specific compensation is determined through interviews and a review of relevant education, experience, training, skills, geographic location and alignment with market data
- Certain positions may be eligible to receive a discretionary bonus as determined by bonus program guidelines, position eligibility and SitusAMC Senior Management approval
- SitusAMC offers PTO and paid holidays, the terms of which are set forth in the program policies
- All full time employees also are eligible to participate in various benefit plans, including medical, dental, vision, life, disability insurance and 401K; in each case in accordance with the terms of the applicable plans
Company Description
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