Associate General Counsel, Global Regulatory & Data Privacy Officer

CFA Institute is the world's largest association of investment management professionals. As a global, independent organization, with a community of more than 175,000 members and 150+ member societies, we lead the investment profession by promoting the highest standards of ethics, education, and professional excellence for the ultimate benefit of society.
At CFA Institute, we care about our employees' mental, physical, social, and financial well-being. That's why we are committed to providing a comprehensive, competitive benefits package that offers flexibility to make choices that meet their needs:

• Health & Well-being benefits that are amongst the best in the industry with full comprehensive Medical, Dental, and Vision for employees and their family members
• Comprehensive Leave and Time Off plans
• A focus on Financial Well-being means that we stack our retirement benefits against the most competitive standards.
• Flexible work arrangements
• Wellness, Education, and Employee Assistance Benefits

Job Description Summary:
The Associate General Counsel, Global Regulatory & DPO ("AGC") is responsible for leading the legal oversight of the company's compliance-related projects and providing legal and regulatory advice for all aspects of day-to-day operations of the organization. This role is responsible for supporting the company's regulatory and government relations activities in both the US and internationally, including assisting with the development of overall strategy and management of those relationships. This person is a key member of the legal services team and is expected to serve as an important and direct point of contact with internal business units, other internal support functions, external counsels and consultants, and CFA societies.
This AGC also serves as the Global Data Privacy Officer and is accountable for leading the global privacy program, which encompasses all elements necessary for a best practice compliance program, including but not limited to training, policies, communications, providing advice on business operations and initiatives, monitoring, auditing, and reviewing contracts to ensure compliance.
This AGC is also responsible for the Government Relations function and leads the team members in China and India. The incumbent is accountable for engagement with governmental bodies with authority and oversight of CFA Institute and its products. This team will also be responsible for tracking new and proposed law and changes to regulations as well as their impact on CFA Institute's operations.
Job Description:
This position is required to handle highly confidential matters and materials with discretion. As the AGC, you will have the opportunity to:

• Direct the legal functions of internal and external national, local, and industry regulatory and compliance activities, including, regulatory inquiries and/or investigations. Identify and review laws, regulations, agency orders and related regulatory announcements to assess business impact.
• With respect to regulatory matters in China and India, work in support of the General Counsel, APAC to ensure organizational understanding and compliance with those regulatory requirements.
• Responsible for the global organizational Data Privacy program to include policies, procedures, and infrastructure in coordination with key stakeholders, with the goal to embed privacy and data compliance into the organization's culture. With respect to privacy laws in China and India, work in support of the General Counsel, APAC to ensure organizational understanding and compliance with those requirements.
• Serve as the organizational subject-matter expert on the FCPA, other global anti-corruption and anti-bribery laws, global NGO laws, the Lobbying Disclosure Act, and all other state, local and international lobbying laws and regulations, all export and sanctions related laws and regulations including OFAC and other international sanctions regimes, and tax, finance, and accounting laws, among others.
• Provide subject matter expertise and legal guidance on the strategy and defensibility of the compliance program and related regulatory compliance work.
• Advise the Board of Governors, Leadership Team, staff, and volunteers globally on privacy, consumer, and data protection laws and regulations related to the development, marketing and distribution, and administration of our products and services.
• Oversee and conduct privacy risk assessments to identify enterprise privacy and data protection risks, working collaboratively with business and operational stakeholders to develop and implement remediation plans for privacy compliance.
• Collaborate with IT on cyber security policies and procedures.
• Ensure appropriate personnel actions are taken for failure to comply with the privacy policies.
• Accountable for the design and implementation of a Compliance Program for CFA Institute that will sustain an enterprise wide, risk based and effective compliance framework in accordance with the organization's overall risk strategy. Draft, update and maintain policies, procedures, and processes to ensure compliance with applicable laws, rules, and regulations;
• Respond to charges and conduct internal compliance investigations (often in partnership with Human Resources); lead the compliance team, work closely with the Enterprise Risk function to implement corrective action protocols;
• Accountable for working with internal stakeholders to ensure that CFA Institute is well positioned to work effectively within the regulatory frameworks. Supports the government relations team with team members in global markets including China and India.

The skills and experience for this role are:

• Minimum 7-10 years' experience in a similar role in-house legal or compliance role for a global organization
• JD required.
• Past successful experience defending a global organization from regulatory and other investigations at the US federal and/or international government level in the areas of tax, bribery and corruption or employment is desired; experience conducting government enforcement actions against corporate entities may be considered in lieu of defense experience.
• Experience developing and/or maintaining a regulatory compliance program and working with software systems supporting that program.
• Certified as a CCEP by the Compliance Certification Board or willingness to obtain in the first six months of employment.
• Strong team player, positive attitude, and willingness to contribute to the overall success of Legal Services.
• Must currently be a member of good standing of any U.S. State Bar and with no encumbrances to being licensed to practice in Virginia.
• Excellent written and verbal communication skills.
• Must demonstrate ability to work independently, able to juggle multiple tasks and competing priorities in a fast-paced environment.
• Excellent organizational skills with a high attention to detail and accuracy.
• Written and verbal fluency in English essential, fluency in an additional language preferred.
• Must demonstrate outstanding judgment, critical thinking and mature business skills with the ability not only to establish a strong rapport with business customers and but also to be assertive where necessary and appropriate.

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We are an Equal Opportunity Employer. CFA Institute prohibits both discrimination and harassment with regard to all identifying characteristics: any individual employee, group of employees, or prospective employee on the basis of race, color, national origin, citizenship or immigration status, religion, creed or belief, age, marital or partnership status, marital or family status, care giver status, pregnancy and maternity, sexual and other reproductive health decisions, physical abilities/qualities, disability, sexual orientation, gender, gender identity or expression, predisposing genetic characteristic, military or veteran status, status as a victim or witness of domestic violence or sex offense or stalking, unemployment status, infectious disease carrier status, migrant worker status, educational background, socio-economic status, geographic location and culture or any other basis protected by applicable law. This policy impacts all aspects of employment, including but not limited to, recruitment, hiring, compensation, training, development, promotion, demotion, layoff, recall, furlough, transfer, leave of absence, and dismissal. This is a global policy that applies to all CFA Institute employees, regardless of location.
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