Third Party Due Diligence & Monitoring Senior Manager

About the role

The Ethics and Compliance Third-Party Due Diligence (“TPDD”) and Monitoring Senior Analyst (“TMSA”) will assist the TINA Ethics & Compliance Team regarding the development, implementation, sustainability, monitoring, and advancement of a TPDD Program to evaluate, identify, mitigate, and remedy third-party risks.

Responsibilities

• Management of North American TPDD Program: Oversee the administration and sustainability of the Third-Party Due Diligence (TPDD) program by developing and implementing strategic and operational priorities.
• Risk Assessment: Utilize tools and technology to assess third-party information, including sanctions and regulations, to evaluate risks in business relationships.
• Due Diligence Monitoring: Maintain program integrity through continuous monitoring, risk mitigation, and issue remediation.
• Program Monitoring: Develop, implement, and administer ethics and compliance program Monitoring program and processes, including monitoring controls, risk identification, risk mitigation and remediation, and collaboration with risk owners.
• Research & Analysis: Analyze due diligence reports to evaluate risks identified through the third-party due diligence process.
• Reporting: Create reports and key risk metrics for third-party activities and ethics and compliance program integrity and functionality.
• Stakeholder Communication: Inform stakeholders about TPDD Program requirements, SOPs, rules, and provide training.
• Information Management: Collect, maintain, and review information from third parties for due diligence and risk evaluation.
• Technical Support: Provide monitoring and technical support and finalize reviewed results.
• Collaboration: Work with cross-functional partners and stakeholders on TPDD Program utilization and operations.
• Database Navigation: Use public databases and internal systems to verify due diligence information and address discrepancies.
• Workload Management: Ensure timely handling of work queues and escalations.
• Project Management Support: Assist with Global Ethics and compliance initiatives, enhance and sustain a risk-based TPDD program, and develop compliance training materials.
• Program Development: Collaborate with the TINA Ethics & Compliance Team and stakeholders to develop and sustain an ethics and compliance monitoring program and ensure its integrity.

Requirements

• Education: Bachelor's degree in relevant fields (ethics and compliance, accounting, finance, business) or post-graduate degree (law, finance, business).
• Professional certifications (e.g., CFE, CCEP, CRCMP, CRCM) are advantageous.
• Experience: 7-10+ years in ethics and compliance, risk management, third-party due diligence, case management, finance/accounting/financial controls-related activities, training, and compliance monitoring roles.
• Experience with diverse, cross-functional teams is strongly preferred.

Qualifications

• Training and Communication: Proven ability to develop and deliver training programs and communication materials related to third-party due diligence and risk management.
• Communication Skills: Excellent written and verbal communication skills, capable of conveying complex information clearly.
• Compliance and Risk Management: Strong understanding of compliance programs, risk management, fraud examination, and related issues.
• Analytical and Organizational Skills: Strong analytical, critical thinking, visual graphic skills, exceptional organizational skills, and attention to detail.
• Interpersonal Skills: Ability to work collaboratively, build strong relationships, and foster a culture of compliance.
• Technical Proficiency: Proficient with Microsoft Office, Google Docs/Sheets/Slides/Sites, Adobe Pro, TPDD tools like World-Check One, and virtual communication platforms (Teams, WebEx, Zoom).
• Experience with data mining and analytics.
• Project Management: Strong project management skills, ability to handle changing schedules and requirements, and work under pressure with tight deadlines.
• Adaptability and Flexibility: Open to change, adaptable to strategic or operational priorities, and capable of addressing various issues and obstacles.
• Stakeholder Engagement: Skilled in dealing with a wide range of stakeholders and maintaining confidentiality and credibility.
• Teamwork: Strong team player with the ability to work across all levels of the organization.
• Problem-solving: Effective problem-solving skills, enthusiasm, positivity, and resilience.
• Third-Party Verification: Knowledge of third-party verification processes (risk rankings, AML/KYC review, UBO identification, etc.) and awareness of global financial crime and sanctions.
• Regulatory Environment: Experience in regulatory or professional services, particularly related to AML legislation and complex corporate structures.