Director, Legal and Compliance

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The Role

Based in New York or Toronto and reporting to the Vice President, Legal & Compliance, Infrastructure, this Director, Legal & Compliance, Infrastructure will assist with the compliance function for the OMERS Infrastructure business. With 100+ investment professionals, OMERS Infrastructure currently has US$ 29B+ of assets under management and 25+ investments across 4 continents. A key component of OMERS Infrastructure’s strategy includes investing with third-party investors and raising external third-party capital resulting in US SEC, UK FCA and Australian AUSTRAC and AFS registrations/licenses as well as increased complexity and additional critical compliance requirements.

This role includes supporting and helping to evolve a robust, sophisticated global compliance framework and strategy to support OMERS Infrastructure’s growth in size and complexity. More specifically, this leader will be accountable for:

Team Leadership

Partner with, support and develop a geographically dispersed team of lawyers and compliance professionals in New York, London and Sydney as well as the OMERS Enterprise-wide team in Toronto. The role includes management of a senior analyst direct report.  

Business Relationships/Trusted Advisor

• Liaising with infrastructure business leaders in New York and Toronto. Develop depth of knowledge and immerse in the business to be seen as a trusted advisor with the investment team in OMERS Infrastructure.

• Coordinate with and build on the strong collaborative environment with Legal & Compliance colleagues locally and abroad including in the other asset classes; peers in pension administration, legal/finance/corporate support colleagues supporting Infrastructure.

Compliance Monitoring Program

• Maintain, develop, review and administer policies and procedures specific to Infrastructure business.

• Support the Chief Compliance Officer for an SEC regulated subsidiary. Support the legal and compliance regulatory and reporting requirements to the SEC and other applicable regulators, including:

  • Owning key regulatory filings (Form ADV, Form PF, state filings);

  • Supporting board reporting and other over governance initiatives;

  • Supporting other global compliance initiatives and special projects;

  • Coordinating across deal teams, ESG teams and compliance teams on portfolio company reporting;

  • Supporting the SEC-compliance testing program.

• Monitor and assist in assessing and implementing new and emerging regulatory and legal requirements and instituting changes to the compliance program as necessary.

Investment Transaction Support

• Support the North America deal teams on transaction due diligence, including Anti-Terrorist Financing, Anti-Money Laundering and Sanctions due diligence and Anti-Bribery and Corruption due diligence and risk assessments.

• Provide asset management compliance support and ongoing compliance monitoring.

• Support third party capital programs and asset syndications including providing regulatory advice, review of marketing materials, presentations and website content to ensure compliance with regulatory requirements.

Policy Management and Training:

• Monitor new and emerging regulatory and legal requirements and assist with changes to the compliance program as necessary.

• Coordinate and support compliance policies, procedures and tools on enterprise-wide level (i.e., across business units and jurisdictions).

• Oversee and manage a New York based compliance senior analyst.

• Support the global compliance training program.

Candidate Profile

The ideal candidate is a seasoned compliance professional with 5+ years of regulatory experience relating to a sophisticated, fast-paced SEC RIA compliance program.

• Experience at an asset/investment management organization preferred, although experience in a top-tier law firm specializing in regulatory matters will also be considered.

• Equal technical foundation and understanding of the business context is valued – must have the ability to understand the issues and apply a commercially sensitive approach as a business’ trusted advisor.

• Natural collaborator, able to build consensus and influence effectively by building strong, trusting relationships with colleagues and the business.

• Leads by example and drives the organization's performance with a “can do” attitude of continuous improvement.

• Exceptional interpersonal skills and ability to naturally connect and build strong relationships with others, demonstrating strong emotional intelligence and an ability to communicate clearly and persuasively.

• JD or other law degree preferred.

The annualized base salary ranges for the primary location and any additional locations are listed below. The base salary that is ultimately offered to the successful candidate will consider a wide array of factors including but not limited to the individual’s skill set. 

You may also be eligible to receive an annual Incentive Award pursuant to our Short-term Incentive plan and our Long-Term Incentive plan (if applicable), and to participate in our group benefits and retirement plans – details on these elements of compensation are included within OMERS & Oxford offer letters.

As one of Canada’s largest defined benefit pension plans, our people-first culture is at its best when our workforce reflects the communities where we live and work — and the members we proudly serve.

From hire to retire, we are an equal opportunity employer committed to an inclusive, barrier-free recruitment and selection process that extends all the way through your employee experience. This sense of belonging and connection is cultivated up, down and across our global organization thanks to our vast network of Employee Resource Groups with executive leader sponsorship, our Purpose@Work committee and employee recognition programs.