Buy Side Compliance VP - First Compliance Hire - NYC

New York Permanent $175,000 - $200,000
  • First hire in Compliance for a global investment firm
  • Help to lead the company through FINRA and SEC Registration

About Our Client

Our client is a global investment management firm that is hiring their first compliance professional. This person will report to the head office and build a team in NYC

Job Description

  • Daily oversight of the Compliance program ensuring effectiveness and timely completion of tasks
  • Oversight and escalations associated with daily life-of-a-trade reviews, targeted business conduct standard reviews and conducting associated trend analyses and remediation as warranted.
  • Participate in the completion of the annual compliance audit and thematic reviews by the firm's designated self-regulatory organization
  • Leading complex projects and play a leadership role for compliance within the organization
  • Collaborate with other departments (e.g., Risk Management, Internal Audit, Human Resources, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution.
  • Consult with Corporate Counsel as needed to resolve difficult legal compliance issues or emerging regulatory areas
  • Identify potential areas of compliance vulnerability and risk; develops and/or implement corrective action plans and provide general guidance on control enhancements for the future
  • Oversees the distribution of quarterly and annual notices to counter parties as required by Regulation
  • Assists in reviewing promotional material produced by the firm.
  • Maintains prompt and regular attendance.
  • This list of responsibilities may not be all-inclusive and can be expanded to include other duties or responsibilities as needed.

The Successful Applicant

  • 8+ years working in compliance in either an investment bank or investment management firm

What's on Offer

Base salary, annual bonus, build the compliance function from scratch in your vision

Contact
Eric Fine
Quote job ref
JN-072022-5675817

Job summary

Function
Legal
Subsector
Legal Subsector
Industry
Financial Services
Location
New York
Contract type
Permanent
Consultant name
Eric Fine
Job reference
JN-072022-5675817

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