Job Details

Attorney Corporate Compliance - Discretionary Investment Management

Company name

Organization Type

In-House

Job Type

Attorney

Years of Experience

Min 7 yrs required

Location

New York City, NY

Date Last Verified

Sep 21,2017

Posted on

Aug 19,2017
Practice Area
Corporate >> Corporate - General
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Attorney Corporate Compliance - Discretionary Investment Management The candidate will effectively partnering with business partners, legal, risk and operational partners to understand operational and regulatory risks in a complex environment. Will proactively evaluating controls maintained by a Bank investment manager and executing on opportunities for enhancements. Advise the business and provide compliance support for new fund and product launches. Keep abreast of industry trends and anticipate areas of focus and attention of regulators. Should have 7+years of compliance/legal experience at a major law firm, regulator, fund or financial institution. A bachelor's degree is required. A master's degree in business or a law degree is a plus. Certified Fiduciary and Investment Risk Specialist certification is a plus. Should have strong knowledge of private banking investment products and services, and related policies, procedures and control processes. Extensive knowledge of regulatory requirements and operations supporting investment advisers with a particular focus on OCC banking regulations of advisor functions and 12 CFR 9 fiduciary rules is essential. Should have proven track record in building good working relationships. Excellent written and oral communication skills is essential. Good knowledge of Microsoft Office products including Excel, Access, Word, PowerPoint is essential.

Additional info

Req #: 170079854

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