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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Corporate
Litigation - Whistleblower - CFTC
Min 6 yrs required
Compliance Consultant 4 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 and approve routine reports and communications as necessary prior to distribution to Board of Trustees and Senior Management. Make independent assessments, articulate recommendations and defend conclusions. Communicate compliance issues or possible issues to all levels within the organization. Identify the strengths and weaknesses of alternative solutions, conclusions or approaches to issues. Form general rules or conclusions and consider the implications of all options (benefits, costs and risk factors).
Qualification and Experience
Candidate should have Advanced degree. JD degree is a plus. 6+ years of experience in compliance, operational risk, IT systems security, business process management, or financial services, 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) is needed. Proven compliance/legal experience for an investment company, investment adviser or financial services regulatory agency is needed. Proven experience in compliance/legal with sub-adviser/service provider oversight and due diligence is required. Prior experience creating, executing and documenting compliance testing is needed. Proven ability to identify and correct deficiencies in compliance processes and procedures that may lead to internal and/or regulatory non-compliance is desired. Experience working with portfolio managers, investment committees, traders, marketing and operations teams to advise on or help resolve compliance issues is preferred. Experience developing and implementing policies and procedures designed to comply with relevant securities rules and regulations is desired. Compliance experience with hedge funds and private placements is preferred. Experience addressing risks investment adviser clients are exposed to including conflicts of interest is a plus. Experience working with portfolio managers, investment committees, traders, marketing and operations teams to advise on or help resolve compliance issues is desired. Experience developing and implementing policies and procedures designed to comply with relevant securities rules and regulations is preferred. Compliance experience with hedge funds and private placements and experience addressing risks investment adviser clients are exposed to including conflicts of interest is a plus. Proficiency with MS Office Suite of applications is needed. Deadline: 06/10/2015.
Ref: 5103332.
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