Description
What you’ll do :
Enterprise Compliance and Risk Program (ECRP)
- Preparing summaries of Compliance Committee materials and briefing notes for the chair of the Compliance Committee.
- Analyzing the results of the various elements of the ECRP in order to identify areas of future oversight focus.
- Providing advice on compliance issues.
- Staying current on regulatory developments applicable to investment advisers, mutual funds, and broker / dealers, including the impact of banking regulations and non-US regulations.
- Conducting business impact analysis of regulatory developments and changes impacting US Affiliates.
- Working collaboratively with colleagues in EMEA and APAC on compliance projects and regulatory matters with global impact.
- Developing new global compliance programs, including responsibility for program design, policy drafting and oversight of implementation.
- Conducting special projects / analyses on an as needed basis.
Holding Company Compliance Matters :
- Serving as the point person for and handling regulatory inquiries or exams (. Federal Reserve Bank of New York) and internal audits of the holding company.
- Assisting with compliance due diligence for potential acquisitions.
- Drafting and delivering compliance training to holding company staff.
What you’ll bring :
- Juris Doctorate required
- A minimum of 5+ years of relevant experience in compliance at an investment management firm
- Deep knowledge of the Investment Adviser, Investment Company Act, and FINRA and CFTC rules and regulations
- Understanding of Federal Reserve Regulation YY Foreign Banking Organization
- Strong communication and interpersonal skills
- Ability to communicate effectively with both holding company and affiliate senior management
- Self-starter and highly organized individual able to work well in a deadline driven environment
- Digital literacy (Microsoft Office Suite)
- Legal research
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