Risk & Compliance Partner
4 weeks ago
**Business Summary/Background Information/Operating Environment & Context**
At Computershare we invite you to share our vision and commitment to excellence in everything that we do. Our 12,000 people around the globe are entrepreneurial and innovative, serving 25,000 clients and customers 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 stakeholder communications. We also specialize in corporate trust, bankruptcy, class action and utility administration, and a range of other diversified financial and governance services.
Computershare Business Support Services Private Limited (CBSS) is a subsidiary of Computershare, responsible for providing offshore operational support to the Computershare Corporate Trust (CCT) business.
In connection with Computershare’s purchase of the corporate trust business of Wells Fargo (WFCTS), Computershare has created a business unit, CCT, whose primary focus over the next 10 months will be to integrate WFCTS into Computershare. An Integration Program Team has been created and is comprised of several workstreams and program areas.
Founded in 1978, Computershare is renowned for its expertise in high integrity data management, high volume transaction processing and reconciliations, payments and stakeholder engagement. Many of the world’s leading organizations use us to streamline and maximize the value of relationships with their investors, employees, creditors and customers.
**Job purpose**
The Risk and Compliance Partner is a vital member of the Risk and Compliance Team.
This role is responsible for providing independent risk and compliance advice, support and oversight to the CCT Departments in meeting their risk, compliance and regulatory requirements. The Risk and Compliance Partner will have a specific focus on risk and compliance policy maintenance, regulatory compliance training implementation and tracking. The role holder will be required to collaborate with onshore teams to provide agreed upon servicing to the CCT business.
In this role you will be ensuring all aspects of compliance as defined by legislation, company policy, and leading practice as well as all risk aspects are implemented, reviewed, and reported while supporting, assessing, monitoring, and testing the first line of defence to ensure measures are in place to identify, assess, mitigate, and reduce risks, including local Indian regulatory compliance risks. You will be part of a team of risk and compliance professionals to oversee the management of risk within the CCT business.
**Key Accountabilities (List in order of importance and time spent)**
- Provide independent Second Line of Defence Risk and Compliance support, oversight and monitoring of the CCT business in meeting their risk, compliance and regulatory responsibilities.
- Receive direction from leaders and exercise independent sound judgement while developing knowledge to understand function, policies, procedures and compliance requirements.
- Interpret policies, procedures, regulations and compliance (inconsultation with Legal) requirements.
- Risk identification and mitigation mechanisms, including clear incident management process and escalations management.
- Assisting with the implementation, execution, and maintenance of the risk and compliance programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements.
- Identify and recommend opportunities for process improvement and risk control development through the oversight and implementation of the Risk and Compliance testing program.
- Oversight and support of the local CCT India Operational Control Standards, which includes compliance checks of Physical Security, General Facilities/building, transport related filing, venfor contract compliance (if any), Technology, Infrastructure Controls; and Business Continuity Planning.
- Support the CCT business and shared services as the point of escalation for local India risk, compliance, and legal matters.
- Monitor the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management.
- Ability to evaluate, identify and recommend opportunities for process improvement and risk control environment from a local risk and compliance program lens; anticipated to identfy any new local laws/regulatory obligations, as applicable.
- Provides guidance to management in the development of strategic plans for CCT offshoring.
- Advises the business on cross-departmental projects, risk assessments, and new business initiatives.
- Leads CBSS through strong people leadership skills that create an effective high performance, inspired climate.
- Provides direction and collaborates with key consultants and vendors.
- Directly leads and manages functional risk and
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