Business Policy & Governance Manager

Management Level

Equiniti is a leading international provider of shareholder, pension, remediation, and credit technology. With over 6000 employees, it supports 37 million people in 120 countries.

EQ US is a leading provider of ownership data management, analytics and advisory services to public and private companies as well as corporate issuers and mutual funds. EQ offers a comprehensive product set, including transfer agency services, cap table management, equity compensation services, proxy solicitation and advisory services, private company solutions and bankruptcy claims administration services. Affiliates include, D.F. King and Co., Inc., Astrella Private Company Solutions, Inc., and Donlin, Recano & Company, Inc. Learn more at: www.equiniti.com/us

EQ's vision is to be the leading global share registrar, offering complementary services to its client base and our values set the core foundations to our success. We are TRUSTED to deliver on our commitments, COMMERCIAL in building long term value, COLLABORATIVE in our approach and we IMPROVE by continually enhancing our skills and services. There has never been a better time to join EQ.

***This will be a hybrid role based out of either our NYC or Mendota Heights, MN office

Role Summary

The Business Risk & Controls ('BRC') team is a specialist First-Line team operatingwithin the Equiniti US Shareholder Services division. This role is responsible for policy oversight and governance framework establishment of the business.

The BRC team closely aligns with the business for Enterprise & US business-wide Policy Framework & training activitiesincluding Policy establishment, application and assurance, training opportunities, and multiple governance projects. This is a rapidly evolving area of our business, in a changing environment, which is both challenging and demanding.

We are looking for an accomplished applicant with equivalent work experience, supplemented with wider financial & business knowledge from prior roles, to be a part of the BRC Business Policy & Governance Function for the Division.

Core Duties/Responsibilities

• Support the Business Policy & Governance Director in the development, maintenance, and continued enhancement of the overall Policy & Governance function. This includes first-line a policy adherence framework establishment, a comprehensive and proactive governance framework designed to enhance Risk Management & Controls best practices across the first line.

• Support policy assurance practices to achieve control objectives in conjunction with the 2nd line Risk function & establish Governance best practices for policies and procedures as per firm guidelines (e.g., formatting, versioning, location, forum, etc.)

• Effectively support the business with Internal/External Audit activity including development of remedial actions. This role will best suit someone with a blend of Internal Audit Experience, Internal Control & Risk expertise coupled with remediation & delivery experience.

• Ongoing monitoring and reporting on status of remediation programs and independent challenge of Action implementation.

• Lead or participate in Governance projects (this is an ongoing requirement).

• Proactively identify trends, gap patterns and perform read-across analysis on policy and procedure related issues identified in one business unit for relevance in others.

• Drives change with focus on governance, innovation and efficiency.

Skills, Capabilities and Attributes

• 7+ years in the Finance industry, with an understanding of Shareholder Services preferred. Previous experience in a first-line Policy & Governance Management setting, risk subject area expertise and/or Compliance.

• Experience in drafting and / or reviewing Audit/ regulatory reports, Risk reports, Controls & Process narratives and drawing independent, objective conclusions.

• Proven accountability & ownership; Ability to manage multiple priorities.

• Strong understanding of key elements for good governance, risk and controls management.

• Strong analytical skills, Impeccable eye for detail & accuracy.

• Outstanding written and verbal communication skills & proficiency in MS Office Suite.

• Delivery focused - proven ability to optimally drive projects / reviews / tasks to completion at a high standard.

• Self-starter, good under pressure, results focused - able to identify opportunities and take initiative and respond rapidly and flexibly to urgent priorities that arise on an ad-hoc basis.

• Experience liaising with Auditors/Regulators.

• BA or higher degree.

Compensation

• $110,000-130,000 annually

Equal Opportunity Statement

We are an equal opportunity employer and make employment decisions without regard to race, creed, religion, national origin, sex (including pregnancy, gender identity, and sexual orientation), parental status, marital status, national origin, age, disability, family medical history or genetic information, political affiliation, military service, status with regard to public assistance, or any other characteristic protected under federal, state, or applicable local law.