You are here
SVP Compliance Officer
Unlimited Career Growth
About Our Client
My client is a global, tier 1 bank with over $1 trillion in assets.
- 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