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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Finance - Banking
Litigation - Whistleblower - CFTC
Min 4 yrs required
Compliance Consultant IV The candidate will be a critical member of a growing Risk and Compliance team. Responsible for developing, implementing and monitoring a risk-based compliance program to assure compliance with federal, state, agency, legal and regulatory requirements. Works with assigned business units and provides compliance risk expertise and consulting for projects and initiatives with moderate to high risk to identify, assess and mitigate regulatory risk in all business activities. Develops testing strategies and methodologies; evaluates the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls and identifies issues resulting from internal and/or external compliance examinations. Consults with business to develop corrective action plans and effectively manage change to ensure regulatory compliance. Identifies training opportunities; may design/coordinate the development of training materials and delivers training. Reports findings and drafts recommendations to compliance risk and business line management. Coordinates production of periodic compliance performance reports for senior management, including recommended strategies. May manage project teams and provide guidance to less experienced specialists/consultants.
Qualification and Experience
A J.D. or other advanced degree is preferred. Must have 8+ years of compliance/legal experience with a focus on the investment adviser industry or regulatory agency. Must have 6+ years of experience in compliance, operational risk, IT systems security, business process management, or financial services, of which 3 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). Compliance experience in hedge funds/private placemen is desired. Should have preferable experience developing and implementing policies and procedures designed to comply with all relevant securities rules and regulations. Experience addressing risks investment adviser clients are exposed to including conflicts of interest is preferred. Experience working with portfolio managers, investment committees, traders, marketing and operations teams to advise on or help resolve compliance issues is preferred. International compliance experience, including UCITS is desired. 3+ years of compliance/legal experience with subadviser/service provider oversight, evaluation and due diligence is required. Should have experience in federal securities laws, primarily the Investment AdvisersAct, industry practices, and other regulatory requirements relating to investment advisers. Prior experience creating, executing and documenting compliance testing is needed. Must possess proven ability to work independently to set goals, organize priorities, and establish and adhere to deadlines. Should have demonstrated ability to apply critical thinking talents to make independent assessments, articulate recommendations and defend conclusions. Must have effective partnering and influencing skills as well as comfort with performing in a cross-functional and matrixed envioronment. Should have proficiency with MS Office suite of applications. Must possess strong oral and written communication skills and must have the ability to function cooperatively and build consensus on compliance issues. Should have proven ability to identify and correct deficiencies in compliance processes and procedures that may lead to internal and/or regulatory non-compliance. Should have the ability to be proactive, communicate compliance issues or possible issues to all levels within the organization, to use logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to issues; to combine pieces of information to form general rules or conclusions and consider the implications of all options (benefits, costs and risk factors).
Ref: 5043621.
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