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UPS Senior Operations and Compliance Manager in Atlanta, Georgia

The Senior Operations and Compliance Manager develops, administers, and manages the compliance program, spearheads new compliance initiatives, and has supervisory oversight of the UPS Defined Benefit Plans (the “Plans”) compliance program. He/She ensures the investments for the Plans are in compliance with rules and regulations and governing bodies applying to investing assets for UPS pension plans in the US, Canada and other jurisdictions. In addition, he/she will be responsible for initial and ongoing operational due diligence as related to the Plans’ service providers (i.e., custodian, investment managers, etc.), provide legal support, and develop UPS policies and procedures. He/She will manage relationships with non-investment related service providers to the Plans, including legal, tax, compliance, banking and other consulting partners for Plans in the US and other countries in which the UPS Investments Group serves as named fiduciary. He/She is also responsible for the overall operational management of the Plans (e.g., custodial relationships, internal reporting, transaction processing, timely payment of expenses, cash forecasting, budgeting, etc.). This position manages others within the department.

Responsibilities and Duties

  • Builds processes, and appropriate monitoring and surveillance programs/tools to support UPS policies and procedures (i.e., initial operational due diligence and on-going operational due diligence/monitoring) along with enhancements

  • Manages and supports the Plan’s regulatory compliance requirements under regulatory entities with jurisdiction over US and non-US pension plans to ensure compliance

  • Serves as department point of contact and maintains up to date knowledge of the regulatory landscape to ensure implementation of industry best practices

  • Analyzes, evaluates, and provides input to the valuation monitoring process to identify and highlight compliance risks/weaknesses

  • Supervises the completion of annual audits, regulatory filings and investment manager attestation requests and responds to regulatory requests to ensure the UPS Group Trust and the Plans remains in good standing with various regulatory requirements

  • Supervises and enforces the completion of UPS corporate compliance training to ensure the department meets all compliance related requirements

  • Collaborates with Portfolio Managers (PMs) in the development and implementation of asset-specific compliance initiatives to ensure department implements best practices

  • Provides training and guidance to Investments Staff (i.e. Directors, Portfolio Managers, Sr. Analysts, Analysts, etc.) to ensure compliance with regulatory obligations and existing/new UPS policies and procedures

  • Manages and administers testing to ensure controls are operating effectively

  • Assists in development and implementation of testing procedures for newly developed processes to ensure controls are operating as intended

  • Identifies control gaps/weaknesses and recommends control enhancements post-testing to ensure department improvement in needed areas

  • Provides customized compliance and operational risk solutions to mitigate overall risk and creates efficiencies to manage overall risk for the UPS Group Trust

  • Analyzes and evaluates new regulatory proposals/developments impacting the Plans to ensure Trust Fiduciaries are aware of on-going industry changes

  • Spearheads initial and ongoing operational due diligence in relation to service providers (i.e., custodian, investment managers, etc.) across all asset classes to create an effective operational due diligence program

  • Directs and reviews current compliance processes and procedures to ensure efficiency, effectiveness, and cost containment

  • Identifies procedural gaps and control weaknesses, and develops procedures to eliminate control gaps/weaknesses

Knowledge and Skills

  • Plans and completes work with thoroughness, giving attention to specific information, and individual details, conditions, necessary record keeping, and elements of that work

  • Captures/documents specific and accurate information; learns subjects thoroughly and in detail; completes work with thoroughness; supplies appropriate details when requested; maintains organized files

  • Uses the research problem to guide relevant data gathering and benchmarking; develops a working knowledge of literature related to the research problem; minimizes personal biases that may impact the research process or outcomes; gathers data that represent all sides of the business case

  • Demonstrates a basic understanding of the functions, regulations, and procedures of compliance agencies or governing bodies; takes a leadership position in programs that reduce risk and enhance safety

  • Prioritizes complex, material, and/or multi-functional risks to the enterprise; coordinates and provides governance over risk treatments; develops business continuity plans to improve preparedness and response capabilities

  • Bachelor’s Degree (or internationally comparable degree) - Required

  • Bachelor’s Degree in Finance or Accounting - Preferred

  • Master’s Degree - Preferred

  • J.D. or equivalent - Preferred

UPS is an equal opportunity employer. UPS does not discriminate on the basis of race/color/religion/sex/national origin/veteran/disability/age/sexual orientation/gender identity or any other characteristic protected by law


Category: Accounting and Finance

Requisition Number: 257844

Location: Atlanta,Georgia