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Compliance VP - Asset Manager
Winning, Collaborative Culture
Highly Competitive Compensation Package
About Our Client
My client is a multi-national asset manager, with tier one clients around the globe.
In this role will you be tasked with coming in and implementing change wherever necessary, as well as managing your own team over time.
The Successful Applicant
- You should have strong knowledge of the US equity markets, including relevant current and proposed industry and regulatory developments. Knowledge of the rules governing communications with the public, suitability, cross-border requirements and information barriers is essential.
- Knowledge of the US rules governing Equity Trading and other key rules and regulations (e.g., The Market Access Rule, Reg SHO, Rule 201, Reg NMS, FINRA Rule 5270, FINRA Trade Reporting Rules, etc..) is a plus.
- Responsibilities will involve all aspects of compliance support, including advising and providing guidance to the Equities Sales platform of a sophisticated full service broker/dealer oriented toward Institutional clients.
- Assess regulatory/compliance controls related to areas of coverage. This would include providing clear and understandable advice and guidance to interested parties, and drafting and delivering Compliance training on these topics.
- Analyze proposed and new rules in addition to market and internal developments and provide advice and guidance, as may be required. Additionally, play an advocacy role representing the Firm in industry efforts (e.g., SIFMA, FIF, etc.) as they pertain to equities sales and related developments.
- Develop and enhance Compliance policies and procedures and coordinate with global colleagues in developing global standards for cross-border activity.
- Identifying regulatory trends and developments, advising business staff as to how this may impact their current activities and working with supervisors to implement any required changes to current policy / practice.
- Knowledge of SEC and FINRA Rules related to the sale of equity products to various distribution channels including RIAs, ERISA Clients, Pensions and Insurance Clients
What's on Offer
- Full health benefits
- Daily, catered lunch