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In-House
Attorney
Corporate
Litigation - Whistleblower - CFTC
Min 7 yrs required
Compliance Officer The candidate will be responsible for managing the Compliance function for firm and its CUSO’s. Will develop and maintain a compliance management system (which includes an enterprise wide compliance risk assessment) that integrates into the overall risk management strategy of the firm. Responsible for developing and executing an organization-wide compliance assessment program for the purpose of ensuring that management has implemented federal and state laws, rules and regulations appropriately and prudently in a way that protects the firm from liability or penalty. Monitor and analyze developing trends and changes in regulatory compliance laws, rules and regulations, and advise management of the operational impact of such trends and changes. Serve as a collaborative partner with the business units to integrate regulations into daily operations and to facilitate the implementation of new regulations and/or changes as necessary. Must have BA/BS degree. Should have 7 years of financial services experience in consumer protection regulatory compliance, internal audit, external audit, financial services operations, or consumer protection compliance program development/evaluation, with an emphasis on financial services. Professional Certification, Certified Bank Compliance Officer (CBCO), Certified Regulatory Compliance Manager (CRCM), or Certified Regulatory, Compliance Professional (CRCP) or law degree is required.
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