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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Finance - Banking
Litigation - Whistleblower - CFTC
Min 5 yrs required
General Counsel Consulting (GCC) is the only professional firm that works full time to find openings and make placements for General Counsel and in-house counsel. By working only for in-house counsel over the years, we have developed exclusive resources for advancing your legal career. Operational Compliance Manager - Compliance Manager 4 The candidate will be responsible to use managerial expertise and powerful communication skills to oversee team of Compliance and Operational Risk professionals to: Develop and integrate risk analysis and reporting into a global investment management company with multiple legal entities; Manage new initiatives during development phase for Risk and Compliance to assure appropriate integration with procedures; Create and link a detailed framework to document risk discussions, validation and decisions; Develop and evaluate forensic testing to identify emerging risks; Collaborate with all applicable business units and apply company risk tools and create additional tools appropriate for Investment Management; Deliver risk expertise and consulting for projects and initiatives, including project management for new initiatives and project as appropriate; Build appropriate detailed and summary reporting for all business activities for new projects and risk assessments for corporate partners, management and the Boards of Trustees/Directors; Evaluate and assure testing for the validity and range of risks, as well as the effectiveness and reliance of controls. Will report and communicate with all levels in the organization as well as externally as appropriate including to Senior Leadership across the organization and Regulators. The candidate should preferable have Bachelor's degree in Business, Economics, Finance, Accounting or related field. J.D. or other advanced degree is desired. CFA or other appropriate industry designation is preferred. Should have 10+ years of experience in compliance, operational risk, IT systems security, business process management or financial services, of which 5 years must include direct experience in compliance or operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk). International compliance experience is desired. Must have experience in federal securities risks, primarily related to the Investment Advisers Act and Investment Company Act, industry practices (40 Act). 5+ years management experience is needed. Should have proven experience and ability to manage the creation, execution and report a risk framework for an Investment Advisor. Must have In-depth knowledge of appropriate risks, including but not limited to, Investment, Operations, Regulatory and Reputational. Should concrete understanding of conflicts of interest scenarios in the investment management industry and reporting thereon. Knowledge of complex investments and associated risks are preferred. Must have proven ability in risk officer role for 1940 Act Advisor. Proven ability to train team members to proactively identify risk factors prior to regulatory exams are needed.
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