Vice President, Compliance - Registered Transfer Agency bei Citco
Citco · Overland Park, Vereinigte Staaten Von Amerika · Onsite
- Senior
- Optionales Büro in Overland Park
About Citco
Citco is a global leader in fund services, corporate governance and related asset services with staff across 50 office locations worldwide. With more than $1.8 trillion in assets under administration, we deliver end-to-end solutions and exceptional service to meet our clients’ needs.
For more information about Citco, please visit www.citco.com
About the Team & Business Line:
Fund Administration is Citco’s core business, and our alternative asset and accounting service is one of the industry’s most respected. Our continuous investment in learning and technology solutions means our people are equipped to deliver a seamless client experience.
As a core member of our Registered Alternative Products team, you will be working with some of the industry’s most accomplished professionals to deliver fund administration services to the registered product market.
Responsibilities
Your Role:
- Responsible for developing, implementing, and overseeing the compliance framework and program and ensuring adherence to all applicable laws, regulations, and industry standards while maintaining strong relationships with regulatory bodies, internal stakeholders, and clients
- Ensure policies and procedures align with relevant regulatory laws and regulations, industry best practices, and client expectations
- Conduct regular compliance risk assessments and oversee regulatory filings, audits, and examinations including management of responses to inquiries, examinations, and investigations
- Act as the primary liaison with regulators, industry associations, and other stakeholders
- Identify, assess, and mitigate compliance risks related to service delivery, data protection, AML, and conduct audits and report findings to stakeholders
- Promote a strong compliance culture across the organization through regular communication and engagement
- Conduct due diligence on vendors and third-party service providers to mitigate compliance risks and collaborate with legal, risk, and other teams to address client compliance concerns
- Monitor the effectiveness of established compliance processes and controls and recommend and implement enhancements
- Support and maintain the required oversight of the SEC registration for Citco’s transfer agency business
Qualifications
About You:
- Bachelor’s degree, Business, finance or a related field
- 20+ years of compliance experience
- Deep knowledge of regulatory requirements, strong understanding of risk management, AML, data privacy, and corporate governance
- Experience interacting with regulators and managing regulatory exams
- Experience as compliance for 1940 Act registered products
- History of interactions with senior management and registered investment company boards
Our Benefits
Your well-being is of paramount importance and central to our success here at Citco. Citco offers a comprehensive and competitive total rewards package to support your career success and personal needs. Your base salary will be determined by several factors such as the role, experience, skillset, market conditions, etc. Furthermore, qualifying positions can participate in an annual discretionary bonus pool based on company profitability and individual contributions. Our comprehensive benefits package includes medical, dental, and vision coverage, short and long-term disability benefits, a retirement savings plan, tuition reimbursement, mental health and wellness support, parental leave, and more. Additional details about our total rewards package will be shared during the hiring process.
At Citco, we take pride in fostering an inclusive culture by prioritizing the hiring of people from diverse backgrounds. Our culture is a source of pride and strength, fostering innovation, mutual respect, and collaboration. We warmly welcome and encourage applications from people with disabilities. If you require any accommodations to make our recruitment process more accessible for you, please let your recruiter know.
As an equal opportunity employer, Citco adheres to making all employment and personnel decisions without discriminating based on race, color, creed, religion, sex, physical disability, mental disability, age, marital status, sexual orientation, citizenship status, national or ethnic origin, or any other protected status. We believe that an inclusive workforce not only enriches our company but also drives us towards greater success.
Please note that this job description is not intended to be all-inclusive. Our employees may perform other job-related duties as needed to meet the ongoing needs of our organization.
