We have a unique opportunity for someone to contribute their talents and strengths as a Compliance Licensing Manager. A COMPANY TO BE PROUD OF 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. In connection with Computershare's purchase of the corporate trust business of Wells Fargo (WFCTS), Computershare has created a business unit, Computershare Corporate Trust (CCT) whose primary focus over the next 24-36 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. Computershare is represented in all major financial markets and has over 12,000 employees worldwide. DIVERSITY IS A STRENGTH Across our global team, we see diversity as a source of strength. The more perspectives we have, the better equipped we'll be to meet the demands of our diverse global customer base. We want every person who joins out team, every customer and every supplier to feel welcome. We are an Equal Opportunity Employer and believe in equality for everyone, regardless of age, national or ethnic origin, sex, gender identity or expression, race, color, religion, disability, sexual orientation, protected veteran status or other characteristics protected be applicable law. That applies throughout our company, around the world with no exceptions, regardless of differences. We will hire, develop, reward, promote and retain people purely on the basis of their talents, commitment, potential and the results they achieve. We will work hard to make sure everyone is included within our organization, removing barriers and obstacles to give everyone an equal opportunity to succeed. OUR VALUES Our key values - Certainty, Ingenuity and Advantage - drive everything we do: you can count on us to deliver with precision and reliability, every time. We look beyond today's problems to find tomorrow's solutions, focusing on finding new and better way to unlock your competitive edge and help you achieve your business goals. A ROLE YOU WILL LOVE The Compliance Licensing Manager reports to the Computershare Head of Risk and Compliance US and is a vital member of Computershare's Compliance Department. The role is required initially to support Computershare Corporate Trust (CCT) project activity, ensuring that Computershare has the appropriate regulatory approvals and licenses in place required for operating on Day 1 of the Transition Services Agreement. The role holder will be required to work independently on behalf of the Compliance Department to facilitate and manage the process of regulatory licensing and approvals. Applicable licensing and approvals required include Fannie Mae, Freddie Mac, Ginnie Mae, the Federal Housing Administration, Veterans Affairs, Federal Deposit Insurance Corporation (FDIC), and the Office of the Comptroller of the Currency ( OCC). The manager will also be required to be the point of liaison for other legal and business development approvals as needed. Once licensing and approvals are in place the focus of the role will primarily to be to provide independent compliance advice, support, and oversight to the each of the CCT business units in meeting their compliance and regulatory requirements, including ensuring compliance policies are adequate and current, collaborating with relevant business units in connection with regulatory filings, providing appropriate compliance reporting to the relevant Computershare boards and committees, and serving as the primary point of contact for regulatory inquiries and examinations, and internal and external audits. Primary Accountabilities:
Project (and ongoing during the Transition Services Agreement) - Facilitate and manage the process for regulatory licensing and approvals required for Computershare to operate the CCT business on Day 1 of the transition services agreement.
Ongoing Compliance - Provide independent compliance advice, support, and oversight to the CCT business units in meeting their compliance and regulatory responsibiites. Specific focus on compliance policy development and maintenance, collaboration with the business units concerning ongoing regulatory filings as required, compliance reporting to relevant boards and committees, and liaison with regulators as well as internal and external audits.
WHAT WE NEED FROM YOU Functional Knowledge
The Compliance Licensing Manager requires knowledge and experience of the end-to-end process of gaining regulatory and licening approvals from Fannie Mae, Freddie Mac, Ginnie Mae, the Federal Housing Administration, Veteran Affairs, the Federal Deposit Insurance Corporation (FDIC), and the Office of the Comptroller of the Currency ( OCC). Must be able to work indepedently with internal stakeholders and regulators to progress to required stringent timescales.
In addition, the Compliance Licensing Manager must have working knowledge and experience operating as part of an independent Second Line of Defence Compliance Group supporting and overseeing compliance obligations relative to the CCT business as well as Anti-money laundering (AML), Sanctions, Anti-bribery/corruption (ABC), Inappropriate sales practices, Internal fraud, Ethic / allegations / Conduct, Insider threat / market abuse, Conflicts, Complaints, and regulatory examinations.
Problem Solving
The role requires attention to detail and substantial evaluative judgment based on understanding of the regulatory landscape, best practice and previous experience. The role holder is expected to respond to and resolve complex problems by identifying and selecting solutions through the application of acquired regulatory and compliance expertise, and to develop appropriate solutions under strict timelines.
Impact
The Compliance Licensing Manager role will have a direct impact on obtaining the regulatory licensing and approvals required to operate the CCT business on Day 1 of the transition services agreement. The success of obtaining approvals and licensing will reflect on the effectiveness of the role holder and department. The role holder will be required to co-ordinate and self-manage the end-to-end process of partnering with the relevant CCT business units to obtain and maintain regulatory licensing and approvals. Subsequent to the regulatory licensing and approvals process, the role will have a direct impact on providing independent compliance oversight to the CCT business units in meeting their ongoing regulatory and compliance obligations.
Interpersonal Skills
The Compliance Licensing Manager role will require excellent organization skills and the role holder will be expected to be capable of multitasking within clearly defined timelines. The role will further require highly developed communication skills to be able to provide clear written and/or communications in response to regulatory queries as well as inquiries from the CCT business units and internal and external audits. Queries and inquiries received will range from basic to high in complexity. The role holder must be able to identify, analyze, monitor, report, and mitigate risks, and exhibit critical thinking skills and integrity. People skills/relationship-building skills are required, including tact and diplomacy when dealing with challenging or sensitive issues.
KEY QUALIFICATIONS To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Demonstrates understanding of compensation principles and/or total reward strategies. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Education & Experience Essential:
Bachelor's degree (B. A.) from four-year college or university; or three to five years related experience and/or training; or equivalent combination of education and experience.
Direct experience with regulatory licensing and approvals by Fannie Mae, Freddie Mac, Ginnie Mae, the Federal Housing Administration, Veterans Affairs, Federal Deposit Insurance Corporation (FDIC), and the Office of the Comptroller of the Currency ( OCC).
Preferred:
At least five years of experience in the financial services industry.
Travel Required It is expected that this position may include travel up to 10 % of the time. This is subject to change based on many factors, including business needs. Work Environment The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
The noise level in the environment is moderate.
Physical Demands The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. While performing the duties of this job the employee is regularly required to talk or hear. The employee is frequently required to sit, stand, walk, reach with hands and arms, and use hands to finger, handle, or feel. The employee may occasionally have reason to lift up to 10 pounds. The vision requirements include close and distant vision.
REWARDS AS UNIQUE AS YOU
A choice medical insurance plans designed to meet your needs
Dental & Vision insurance
Life & Disability insurance
Flexible spending and health savings accounts
Employee Stock Purchase Plan
Paid time off - You'll accrue 3 weeks your first year!
Nine Holidays
$1,000 Employee Referral Program
Wellness programs
Matching 401(k)
Tuition Reimbursement
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 www.computershare.com/mycareer. Your career is waiting. Computershare is an Equal Opportunity Employer. Qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity or expression, national or ethnic origin, age, disability, protected veteran status, or other characteristics protected by applicable law.
