Senior Compliance Analyst
Job Description
This position assists in the design, implementation, and oversight of the Compliance Program for the Companies Defined Benefit Pension Plans and helps ensure they follow industry and regulatory standards (which may include but are not limited to Employee Retirement Income Security Act [ERISA], Generally Accepted Accounting Principles, Sarbanes-Oxley, and Security Exchange Commission [SEC] rules) as well as the companies policies and procedures. This position interfaces with the Investments staff with respect to new and existing investment activity (e.g., performs legal and operational due diligence on new investments) and advises project managers on contract documentation needed to support investments. This position coordinates with internal and external counsel, investment managers, and service providers to implement or modify legal agreements.
Responsibilities
Supervises the Compliance function related to the administration of the Plans
Reviews and advise on contract documentation and class actions
Assists in contract negotiations (e.g. IMA, LPA, vendor agreements, etc.)
Ensures appropriate governance documents are executed
Manages Plans regulatory compliance requirements under ERISA, DOL, FATCA, SEC, and Dodd-Frank to ensure compliance
Oversees structure and usage of FactSet and Diligend file management systems, including ensuring relevant legal and compliance records (amendments, disputes, discovery), and operational due diligence reports are maintained
Confirms applicability and compliance with foreign filing and tax reclaim requirements.
Requirements:
Bachelors Degree or international equivalent
LLB/JD
3 years of experience working with pension plans
Work in United States
Employment Options
Required Academic Degree
Professional Experience
Skills
- ERISA
- Defined Benefit
- Pension
- JD
