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Chief Compliance Officer And Senior Counsel, Securities
Refer job# CRIZ154597
 
Chief Compliance Officer and Senior Counsel, Securities Responsibilities: Responsible for establishing standards and implementing procedures to ensure that the compliance programs throughout the organization are effective and efficient in identifying, preventing, detecting and correcting compliance issues with applicable laws and regulations. Identifies potential areas of compliance risk and develops prioritized corrective action plans for resolution of identified issues. Developing, maintaining, and executing an annual compliance work plan, including reviews and testing. Identifies compliance audit needs and coordinates compliance audits as deemed necessary. Collaborates with other departments to direct compliance initiatives to appropriate existing channels. Consults with Legal Counsel and Board as needed. Responds to alleged violations Develops and oversees a system for uniformly handling of such violation investigations. Acts as an independent review and evaluation body to investigate and validate compliance within the enterprise. Monitors, and as necessary, coordinates compliance activities of other departments to meet compliance standards. Monitors the revision and implementation of external regulations, statutes, and standards; and facilitates implementation of requirements related to current regulations. Works with the People and Organization team, and others as appropriate, to develop an effective compliance training program, including onboarding training for new employees as well as ongoing training for existing team members. Monitors the performance of the Enterprise Compliance Program and relates activities on a continued basis, taking appropriate steps to improve its effectiveness. Ongoing employee training and new hire compliance training. Reviewing best execution. Monitoring Team Member activity and electronic correspondence.. Communicating with advisors on exceptions to defined investment guidelines.. Monitoring complaints and reporting as needed.. Maintenance and updates to the Code of Ethics, Privacy Policy, and compliance manual.. ADV Review and Updates annually or as needed. Coordinating regulatory filings.. Staying current on changes to the regulatory landscape.. Interacting with regulators on compliance issues.. Coordinating efforts related to audits, reviews, examinations and deficiencies.. Complete an annual compliance risk assessment provide senior leadership with recommendations based on the results.. Providing analysis and legal advice on a wide variety of corporate matters focused on the federal securities laws (including the Securities Act of 1933, Securities Exchange Act of 1934, and Dodd-Frank Act) and New York Stock Exchange (NYSE) listing standards. Preparation of Exchange Act reports, including 10-K, 10-Q, 8-K, and proxy statement filings (including shareholder proposals and proxy solicitations). Advising on corporate finance transactions (including public and private securities offerings) and related 1933 Act registration statements. Assisting with the preparation and drafting of agendas and materials for the Board of Directors and its committees, including resolutions and minutes. Maintaining corporate compliance with SEC, NYSE and other legal and regulatory requirements applicable to publicly traded companies, including monitoring developments to ensure continued compliance. Advising on corporate governance and executive compensation matters, and insider trading and Section 16 compliance. Providing legal advice related to investor relations issues, including review of earnings announcements, press releases, and investor communications. Partner with global cross-functional teams including Marketing, Investor Relations, Accounting, and Tax on various projects.

Qualifications: Law degree (JD Degree) from a law school accredited by the American Bar Association (ABA), and currently a member in good standing of the bar of a State, a Territory of the United States, or the District of Columbia. 10+ years relevant experience in related legal, compliance, audit and/or risk management roles. 5-7 years proven experience in a securities and compliance role for a publicly traded company. Corporate governance experience areas including corporate and securities laws, stock exchange standards, and compensation and governance practices and trends. Strong knowledge of legal requirements and procedures. Professional, collaborative attitude. Organized and detail oriented. Ability to communicate effectively with financial and legal advisors and regulators. Strong attention to detail, organization and documentation skills. Strong work ethic. Ability to counsel and work with internal clients of diverse backgrounds, disciplines, needs and level of experience with legal matters. Exceptional organizational skills with a keen attention to detail and the ability to handle multiple, high priority projects in a highly demanding environment. Superior consulting, analytical and problem-solving abilities, with demonstrated ability to successfully manage critical situations and issues. Hands-on, energetic and motivated self-starter. Excellent writing, editing, and oral advocacy skills. Excellent written and verbal communication skills. Fluent in risk management and regulatory requirements, including SOX, Healthcare and Data Privacy.
 
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