Job Title: US Investments Commercial Compliance Leader
Job Responsibilities:
- Design, execute, document, and report on a comprehensive commercial compliance program aimed at addressing and mitigating legal and regulatory risks in commercial activities.
- Collaborate with business colleagues to assess and mitigate the company’s risk profile.
- Maintain relationships with regulators and manage relevant exams.
- Act as an expert in SEC, FINRA, NFA, ERISA, and other US sales and marketing rules, including private fund marketing.
- Assess and recommend process and control enhancements to further mitigate risks and support future business objectives.
- Provide best-in-class advice, appropriate second line challenge, and thought partnership on marketing and sales process and control enhancements.
- Establish and oversee a framework of controls and processes.
- Own and manage the Compliance sales and marketing oversight, testing/monitoring, and governance processes.
- Monitor and understand regulatory developments for modifications needed to the Compliance programs.
- Provide guidance to relevant stakeholders, leaders, and governance committee on regulatory changes that may impact business activities, operations, or objectives.
- Collaborate across the Global Investments Legal and Compliance teams, and with global commercial leaders.
Education and Experience Information:
- A Bachelor’s Degree from a four-year college or university is required (JD preferred).
- A minimum of 7 years of experience, preferably in the financial services industry, with experience managing SEC and FINRA marketing compliance processes and/or managing a broker-dealer compliance program.
- Independent strategic thinker with experience balancing commercial objectives against risk mitigation goals.
- Ability to establish and maintain professional relationships with key stakeholders and service providers.
- Proactive, capable of multi-tasking, and ability to organize and prioritize deliverables to meet deadlines within a growing business environment.
- An ability to work independently and own risk, exhibit solid judgment, and execute effectively.
- A positive, can-do attitude and creative problem-solving skills.
- Strong written and oral communication skills. Ability to communicate succinctly.
What Makes You Stand Out:
- FINRA S7, S24, or FINRA S14 licenses.
- Experience at an SEC registered investment adviser working within a compliance department, managing broker-dealer compliance and marketing and sales compliance programs of advisers and funds.
- Experience implementing workflows and frameworks to generate efficiency while mitigating risk (., Seismic, Red Oak, Saifr, etc.).
- Knowledge of the Investment Company Act of 1940; Knowledge of ERISA regulations; Knowledge of NFA Rules.
Salary Information:
- The applicable base salary range for this role is $144,300 to $288,400.
- The base pay offered will be determined based on factors such as experience, skills, training, location, certifications, education, and any applicable minimum wage requirements. Decisions will be determined on a case-by-case basis.
- In addition to the base salary, this position may be eligible for performance-based incentives.
- A competitive total rewards package is offered, which includes health and welfare benefits, tuition assistance, 401K savings and other retirement programs, as well as employee assistance programs.
Company Overview:
- The position is with a company, a global leader in risk, strategy, and people, advising clients in 130 countries across four businesses.
- The company aims to embrace a diverse, inclusive, and flexible work environment, attracting and retaining the best people while embracing diversity of age, background, disability, ethnic origin, family duties, gender orientation or expression, marital status, nationality, parental status, personal or social status, political affiliation, race, religion and beliefs, sex/gender, sexual orientation or expression, skin color, veteran status, or any other characteristic protected by applicable law.
- The company is committed to hybrid work, which includes the flexibility of working remotely and the benefits of collaboration and professional development in the office. All colleagues are expected to be in their local office or working onsite with clients at least three days per week.
