CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
We have a unique opportunity for someone to contributetheir talents and strengths as a Manager,Compliance Assurance
A COMPANY TO BE PROUD OF
At Computershare weinvite you to share our vision and commitment to excellence in everything that we do. Our 12,000 people aroundthe globe are entrepreneurial and innovative, serving 16,000 clients andcustomers with precision and reliability because they count on us to deliver,every time.
Computershare (ASX:CPU) is a global market leader in transfer agency and share registration,employee equity plans, mortgage servicing, proxy solicitation and stakeholdercommunications. We also specialize in corporate trust, bankruptcy, class actionand utility administration, and a range of other diversified financial andgovernance services.
Founded in 1978,Computershare is renowned for its expertise in high integrity data management,high volume transaction processing and reconciliations, payments andstakeholder engagement. Many of the worlds leading organizations use us tostreamline and maximize the value of relationships with their investors,employees, creditors and customers.
Computershare isrepresented in all major financial markets and has over 12,000 employeesworldwide.
DIVERSITY IS A STRENGTH
Across our globalteam, we see diversity as a source of strength. The more perspectives wehave, the better equipped well be to meet the demands of our diverse globalcustomer base. We want every person who joins out team, every customer andevery supplier to feel welcome. We are an Equal Opportunity Employer andbelieve in equality for everyone, regardless of age, national or ethnic origin,sex, gender identity or expression, race, color, religion, disability, sexualorientation, protected veteran status or other characteristics protected beapplicable law. That applies throughout our company, around the world with noexceptions, regardless of differences. We will hire, develop, reward, promoteand retain people purely on the basis of their talents, commitment, potentialand the results they achieve. We will work hard to make sure everyone isincluded within our organization, removing barriers and obstacles to giveeveryone an equal opportunity to succeed.
Our key values Certainty, Ingenuity and Advantage drive everything we do: you can count onus to deliver with precision and reliability, every time. We look beyondtodays problems to find tomorrows solutions, focusing on finding new andbetter way to unlock your competitive edge and help you achieve your businessgoals.
A ROLE YOUWILL LOVE
TheManager, Compliance Assurance supports the Head of Compliance, US in providingcompliance coverage to Computershares US Issuer Services, Business Services,Plans, and Communication Services business verticals and is responsible foroverseeing the assurance and testing of Business activities related tocompliance risks.
The holder ofthe position will handle critical level items for escalation and ensure anyitems escalated are properly managed, documented and communicated throughoutthe organization.
The Manager,Compliance Assurance supervises one Compliance Specialist.
WHAT WE NEEDFROM YOU
Organization skills: capable of multitasking within clearly defined timelines.
Excellent written and verbal communication skills.
Effective problem-solving skills.
Ability to identify, analyze, monitor, report, and mitigate risks.
Critical thinking skills.
People skills/relationship-building skills.
To perform this job successfully, an individual must be able to performeach essential duty satisfactorily. The requirements listed below arerepresentative of the knowledge, skill, and/or ability required. Reasonableaccommodations may be made to enable individuals with disabilities to performthe essential functions.
Education and Experience
Bachelor's degree (B. A.) fromfour-year college or university; or three to five years related experienceand/or training; or equivalent combination of education and experience.
At least 15 years of experience in the financial services industry, including at least five years of supervisory experience.
Experience as an auditor, regulatory examiner, or regulatory investigator.
Abilityto read, analyze, and interpret the most complex documents. Ability torespond effectively to the most sensitive inquiries or complaints. Ability to write speeches and articles using original or innovativetechniques or style. Ability to make effective and persuasive speechesand presentations on controversial or complex topics to top management, publicgroups, and/or boards of directors.
Abilityto work with mathematical concepts such as percentages and ratios and applymathematical concepts in activities such as budgeting
Ability to apply principlesof logical or scientific thinking to a wide range of intellectual and practicalproblems. Ability to deal with a variety of abstract and concretevariables.
WorkEnvironment The work environment characteristics described here are representative ofthose an employee encounters while performing the essential functions of thisjob. Reasonable accommodations may be made to enable individuals withdisabilities to perform the essential functions.
The noise level in the environment is typical of an open officeenvironment.
Thephysical demands described here are representative of those that must be met byan employee to successfully perform the essential functions of this job.Reasonable accommodations may be made to enable individuals with disabilitiesto perform the essential functions.
Sedentary work: Exerting up to 10 pounds of force occasionally and/or anegligible amount of force frequently or constantly to lift, carry, push, pullor otherwise move objects. Sedentary work involves sitting most ofthe time. Jobs are sedentary if walking and standing are required onlyoccasionally and all other sedentary criteria are met.
REWARDS AS UNIQUE AS YOU
A choice medical insuranceplans designed to meet your needs
Dental & Vision insurance
Life & Disability insurance
Flexible spending and health savings accounts
Employee Stock Purchase Plan
Paid time off - Youll accrue 3 weeks yourfirst year!
$1,000 Employee Referral Program
Banking and investments plans
Rewards and recognition programs
Employee discounts for wellness, auto &homeowners insurance, wireless service and more
To learn more, visit us at .
Your career is waiting.
Computershare is an Equal OpportunityEmployer. Qualified applicants will receive consideration for employmentwithout regard to race, color, religion, sex, sexual orientation, genderidentity or expression, national or ethnic origin, age, disability, protectedveteran status, or other characteristics protected by applicable law.
Primary Location: United States Work Locations: Job: Legal and Compliance Organization: Computershare Limited Job Posting: Oct 25, 2019, 6:47:26 PM
Oversees and provides assurance on control testing executed by first line business units for the purpose of validating that processes and controls are designed effectively to sufficiently mitigate the risk of the applicable requirements and are operating as intended.
Evaluates the accuracy of tests executed by first line business units and adherence to processes and procedures, including testing schedules.
Analyzes and documents work results, establishing and maintain strong relationship with senior compliance management and business areas.
Provides feedback to direct report on a regular and ongoing basis; sets goals and measurements to assess completion of goals.
Participates in and/or manages special projects, as assigned.
Other duties or tasks as assigned by management.
Internal Number: 6740944
eFinancialCareers is a career site specializing in financial services.