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In-House
Attorney
Corporate
Information Technology
Litigation - Whistleblower - CFTC
Min 6 yrs required
Compliance Consultant IV The candidate will be 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. Execute and review testing completed and consult with business partners to develop corrective action plans relative to the 38a-1 Compliance Program. Develop strong cross functional relationships that allow for productive credible challenge and create an atmosphere of continuous improvement. Ensure complete, comprehensive, concise and timely documentation and board reporting of compliance related activities as assigned. Review & approve routine reports and communications as necessary prior to distribution to Board of Trustees and Senior Management. Other responsibilities that may arise for project work and in cross functional teams.
Qualification and Experience
The candidate should preferably have JD Degree or other advanced degree. Must have 6+ years 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). 8+ years of compliance/legal experience for an investment company, investment adviser or financial services regulatory agency. 3+ years of compliance/legal experience with sub-adviser/service provider oversight and due diligence. Prior experience creating, executing and documenting compliance testing. Preferred experience: Experience with the Investment Company Act of 1940; Experience working with portfolio managers, investment committees, traders, marketing and operations teams to advise on or help resolve compliance issues; Experience developing and implementing policies and procedures designed to comply with relevant securities rules and regulations; Compliance experience with hedge funds and private placements and experience addressing risks investment adviser clients are exposed to including conflicts of interest. Possess proven ability to work independently to set goals, organize priorities, and establish and adhere to deadlines. Demonstrated ability to apply critical thinking talents to make independent assessments, articulate recommendations, defend conclusions and thoroughly document assessments. Proven ability to effectively partner with cross functional teams on product development and launch efforts to identify, articulate and assess regulatory, compliance and operational risks. Must possess strong oral and written communication skills and must have the ability to function cooperatively and build concensus on resolving compliance issue Proficiency with MS Office Suite of applications. Closing date: 10/11/2015
Job ID: 5133733
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