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Organization TypePublic Interest
Years of Experience
Date Last Verified
ProfileInvestment Compliance Officer, P4 Duties: Ensures that the steps in IMD's compliance process - risk identification, establishing policies and procedures and implementing them - are appropriate and are undertaken in a timely manner by IMD Staff to whom those functions have been assigned. Ensures that the appropriate principles of management and control are observed in the implementation of policies and procedures. These principles include separation of functions, clear assignment of responsibilities, measuring results against standards and reporting outcomes. Ensures that quality control (transactional) testing is conducted as appropriate to detect deviations of actual transactions from policies or standards and that the results of such tests are included, and other management reports are properly addressed, escalated when necessary, and resolved by the responsible business people. Ensures that there is timely and appropriate review of material and repetitive compliance issues as indicators of possible gaps and weaknesses in policies and procedures or risk identification processes, and facilitates the use of such information in keeping IMD's compliance program up-to-date. Addresses the risk of fraud and undertakes periodic analyses and evaluations of compliance issues together with the results of appropriate forensic testing conducted by IMD Compliance staff as a means of obtaining additional or corroborating evidence regarding both the effective functions of IMD's compliance program and the possible existence of disguised or undetected compliance issues. Ensures that all persons within IMD holding compliance responsibilities are competently and fully performing those functions. Ensures that IMD Staff are appropriately trained in compliance and ethics-related matters. A key component of this is IMD's annual ethics training program. Serves as Audit Focal Point for the Board of Auditors and the Office of Internal Oversight Services, facilitating and coordinating the activities of such examinations including the resolution of findings and observations. Provides general oversight and coordination of IMD's Business Continuity and Disaster Recovery plans. Develops, maintains and tests IMD's Business Continuity Program to identify, document and assess business needs against IMD's infrastructure, and to identify recovery strategies and gaps. Ensures that IMD's basic responsibilities as a signatory to the UN-endorsed Principles for Responsible Investment (PRI) initiative are met, to include completion of the PRI annual survey and participation or direction in PRI activities. Ensures oversight and maintenance of IMD's proxy voting services to ensure that they are timely and accurate.
Qualification and Experience
Qualifications: Advanced University degree (Master’s degree or equivalent degree) in law, business administration or related field is required. A first level university degree in combination with additional two years of qualifying experience may be accepted in lieu of the advanced university degree. A Chartered Financial Analyst (CFA) designation or equivalent is desirable. 7+ years progressively responsible experience in managing compliance operations in a global pension plan, multilateral institution or investment management operation is required; experience handling standard contractual arrangements with custodians, sub-custodians and other service providers is desired. English and French are the working languages of the United Nations. For this post, fluency in English is required. Knowledge of another official language of the United Nations is desired.
Deadline: 28 October 2017
Job Opening Number: 17-Investment Management-UNJSPF-84879-R-New York (R)