Elisabeth Roenker, Senior Compliance Manager

"If we do our job well, all other business units can do their job well with ease"

What makes your job fun?

It's fun to play detective sifting through rules, regulations, opinion, actions and records until you find the right information to support a 'yes' answer. Though it doesn't look that way at first glance, our jobs can be creative. Along with the other departments in the firm, we design policies to make rules livable in our day to day working lives and we design training programs and other communication efforts to help associates become familiar with their responsibilities. We truly enjoy the idea that we work with and support all the various groups in the firm.

Why RIM?

I joined Boston Partners in 2001 and have had the pleasure of working with colleagues in Boston, NY, California and Europe as RIM took shape over the years. The best part about working at RIM is working with so many very talented people. I'm continually impressed by the dedication, focus and drive of the people with whom I get to work every day. Working with them makes me strive to do a great job myself and gives me confidence that I'm part of a great team and supporting an excellent firm.

What does it take to be a good compliance officer?

An excellent compliance officer understands the business she supports and never stops learning. One of the most important parts of our job is to keep informed of two things: (i) changes in regulations and (ii) changes in our firm’s business. Either type of change will create a need to adjust internal policies and procedures to conform to the change. In addition to the awareness of change and ability to conform, a truly great compliance officer must be a good communicator. It is up to us to communicate the regulations to those conducting the firm’s business and to work with the individual business units to create policies and procedures that help them conduct their day-to-day functions in compliance with those regulations. By doing so, we help to protect the firm and it's employees from bad publicity, lawsuits and regulatory investigations. We take on the role of consultants, trainers, researchers and auditors. If we do our job well, all other business units can do their job well with ease and in compliance with agency regulations, rules and law. A great compliance group supports the talents of the other groups in the firm.

What is your ambition in five years?

Any chance of moving the Compliance Group to the Hawaii office?