Role details

SVP Compliance Officer

New York   •  Permanent

Bullet points

  • Competitive Compensation
  • Unlimited Career Growth

About Our Client

My client is a global, tier 1 bank with over $1 trillion in assets.

Job Description

  • Lead/manage the development/enhancement of an on-boarding process for new service providers/subadvisers
  • Conduct ongoing due diligence related to our various lines of business, types of products and service providers
  • Have or develop a strong understanding of SEC, CFTC, FINRA and other relevant regulatory rules, regulations and guidelines
  • Influence the design and structure of the testing program related to adviser/investment company/UCIT and broker dealer policies and procedures.
  • Assist other Compliance Officers in creating testing calendars and risk analysis.
  • Effectively manage projects and other staff, as necessary.
  • Participate in various corporate committees, as appropriate.

The Successful Applicant

  • Bachelor's Degree required; relevant certifications or advanced degree desirable
  • 10+ years of relevant compliance related work experience
  • Solid understanding of the securities industry and the regulatory requirements
  • Prior compliance experience with registered investment advisers; registered investment companies; commodity pool operators; hedge funds; private funds; UCITS
  • Excellent people skills; demonstrated success in building and maintaining strong internal and external relationships
  • Strong organizational and time management skills; ability to effectively identify and prioritize the most critical tasks
  • Exercises good judgment and maintains strict confidentiality

What's on Offer

* Full benefits: health, vision, dental, child care

* Daily, catered lunch

* Car and cell phone budget

* 401(k)

Apply for this job

Click the Apply or LinkedIn button below or contact Michael Campagna quoting job reference 1216313
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