Business Policy & Governance Director

Management Level

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:

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 the policy oversight and governance framework for the business. This group will ensure best practices are adhered to and implemented in collaboration with the 2nd and 3rd Lines of Defense.

The BRC team closely aligns with the businesses for enterprise and US business wide policy and governance framework activitiesincluding Policy establishment, application and assurance, training opportunities and culture development, and a variety of governance related activities. 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 and seasoned applicant with equivalent work experience, supplemented with wider financial business and product knowledge from other roles, to be a part of the BRC Risk Management function for the Division.

Core Duties/Responsibilities

The successful candidate will be responsible for the following:

• Responsible for the development, maintenance, and continued enhancement of the overall Policy & Governance function. This includes several components such as developing a proper first-line policy adherence framework, a comprehensive and proactive governance framework (i.e., procedures, supervision, forums, remediating actions, etc.) designed to enhance Risk Management & Controls best practices across the first-line.
• Responsible for policy advisory, identification, assurance, critical content review, and challenge of Level 3 policies.
• Develop policy assurance practices ensuring control objectives are achieved in conjunction with the 2nd line Risk function.
• Rollout proactive Action Implementation Validation ("AIV") program on a risk-based approach.
• Identify opportunities to develop risk and control awareness through periodic communications.
• Proactively perform read-across analysis on policy and procedure related issues identified in one business unit for relevance in others.
• Establish and maintain governance and best practices for policies and procedures as per firm guidelines (e.g., formatting, versioning, location, forum, etc.).
• Identify training opportunities (sourced from industry developments, audit concerns, trends in incidents, etc.) to boost risk and control culture to the business and coordinate content creation and delivery with internal Learning & Development team.
• Drives change with focus on governance, innovation and efficiency.
• Line management and coaching responsibilities for a team of policy & governance specialists.
• Identify opportunities for enhanced and standardized governance across the first-line (e.g., forums, best practices and frameworks).
• Lead or participate in project work (this is an ongoing requirement).
• Partner and collaborate with Enterprise Risk Management, Compliance, Legal, and other second line functions as well as Internal Audit.
• Question the status quo and identify issues and improvements.

Skills, Capabilities and Attributes

The successful candidate will demonstrate the following experience, skills and behaviors:

• 10+ years in the Finance industry, with an understanding of Shareholder Services preferred. Previous experience in a first-line Policy & Governance Management setting.
• Ability to build/contribute to a team and lead an organization of policy and governance specialists.
• Proficient understanding of key concepts in risk and controls management.
• Proven ability to lead and facilitate policy and procedure governance while setting the benchmark of what "good looks like".
• Ability to work across different types of businesses and second line functions including but not limited to Legal, Compliance, Risk, etc. and third line; Internal Audit
• Delivery focused - proven ability to optimally drive projects / reviews / tasks to completion at a high standard.
• Ability to manage multiple priorities and deliver to established timeframes.
• Ability to engage and influence with proficient interpersonal skills.
• Experience dealing with various Auditors and Regulators is beneficial.
• Astute problem solver with solid analytical skills who is competent with Microsoft Office with above average expertise in Excel and PowerPoint is necessary.
• Outstanding written and verbal communication skills with an eye for accuracy and consistency, excellent grammar, composition, and proofreading skills
• Excellent organizational and project management skills.

Compensation

• $165,000+

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.

Covid Policy

EQ is committed to providing and maintaining a workplace that is free from known health hazards. Employees hired into client facing roles or those requiring business travel, may be required to be vaccinated against COVID depending on client requirements and travel restrictions. All current and future EQ employees are required to adhere to all health, safety and environmental policy and procedure requirements as a condition of employment.