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VP Head of Investments Compliance

Company: Fin'l Services General, New York, NY
Location: New York
Posted on: July 12, 2018

Job Description:

Company values the talented and diverse workforce we’ve cultivated over the years. Our nearly 60-year history includes a strong tradition of providing innovative investment ideas and a world-class experience for the individuals, institutions and financial advisors we serve. Our strong foundation is built on collaboration, creativity, and the extraordinary people who play an integral role in our success every day. Job Description Company seeks to hire a proven leader to oversee Compliance for our Investments division. This person will responsible for setting compliance standards and ensuring the framework is in place to proactively identify and manage risk. The Head of Investments Compliance will provide advice and recommendations to all levels within the organization to ensure business support and adoption, transparency, consistency in approach, and risk mitigation. Likewise, they will develop relationships with key external stakeholders – including regulatory/governing bodies – to ensure that Company’ approach to compliance is proactive and preventative. Reporting to the Chief Compliance Officer of the firm, this person will also be responsible for: Providing leadership and guidance to a team of fourteen compliance professionals (four direct reports) who are responsible for Investments oversight. Providing advice and recommendations to Investments leadership, balancing business strategy with appropriate controls. Creating and conducting training programs for investment professionals Oversee a team of compliance professionals responsible for implementing pre and post trade guideline monitoring and maintenance of guideline systems and protocols Responsible for overseeing trade desk support and surveillance Maintaining productive relationships with regulatory, government and industry policy, law enforcement and intelligence agencies. Promoting a culture of compliance and ensuring the identification and timely mitigation of compliance risks. Assisting the Chief Compliance Officer in setting and driving the firm-wide compliance strategy. Oversee a team of compliance professionals responsible for pre and post trade employee trade monitoring, gift and entertainment and political contributions and outside business activities. Overseeing the documentation review for above-mentioned activities and entities. Qualifications 10+ years of relevant compliance experience with strong knowledge of applicable investment advisory regulations. Experience interacting with regulatory/governing bodies. Proven ability to anticipate and provide solutions to complicated problems and be capable of presenting them in a clear and compelling manner to management. Strong leadership experience and the ability to recruit retain and develop great talent. Strong analytical skills, attention to detail and ability to exercise balanced judgment. High energy; motivated and adaptable; able to respond creatively to a set of issues; positive hands-on attitude. Excellent communication and influencing skills - ability to manage client expectations and competing priorities.

Keywords: Fin'l Services General, New York, NY, New York, VP Head of Investments Compliance, Executive, New York, New York

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