Deputy Compliance Leader - Financial ServicesGE Vernova • New York, NY, US
Deputy Compliance Leader - Financial Services
GE Vernova • New York, NY, US
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job_description.job_card.job_descriptionRegistered Investment Adviser Obligations : Assess compliance obligations and execute controls aligned to various advisory and capital markets products and services, including third-party fundraising and management. Broker-Dealer Compliance : Coordinate and execute compliance obligations for regulated securities transactions arranged through a registered Broker-Dealer and Financial Industry Regulatory Authority (FINRA) member firm, including private placements and brokerage activities. Strategic Advice & Execution : Partner with commercial resources to analyze regulatory obligations and licensing requirements potentially arising from new business activities. When warranted, operationalize and implement control enhancements to meet local obligations. Bachelor's degree from an accredited university; advance degree preferred. 10+ years' experience mainly focused on compliance-related roles. Combined compliance, legal, and / or audit experience will also be considered. Proven support for complex transactions and demonstrated ability translating diligence into compelling recommendations that drive action and decision-making. Experience with strategy, design, implementation, and maintenance of preventive and detective controls underpinning an effective global compliance program. Experience with financial crime compliance laws, regulations, controls, and program requirements across compliance risk areas like anti-money laundering and counter-terrorism financing, economic sanctions and trade controls, and anti-corruption frameworks such as the US Foreign Corrupt Practices Act and UK Bribery Act. Experience with asset management, fund management, brokerage activities for securities transactions, and / or capital raising. Holds U.S. securities industry licenses, such as SIE, Series 7, and Series 24. Experience advising senior management, crafting creative solutions, and evaluating multiple business objectives against compliance principles and best practices. Energy sector, infrastructure, and / or development investment experience. Experience with U.S. and / or global regulatory regimes related to financial services firms, such as broker-dealers and financial advisers, investment advisers, and private equity. Experience with and understanding of compliance obligations for broker-dealers which are FINRA-member firms. Experience with and understanding of compliance obligations for investment advisers registered with the Securities & Exchange Commission (SEC). Demonstrated understanding of the UK Financial Conduct Authority (FCA) Handbook, underlying compliance principles, regulator expectations, and regulatory frameworks. Experience with Markets in Financial Instruments Directive (MiFID-II) and Capital Requirements Directive IV (CRD-IV) frameworks and regulatory requirements. Demonstrated understanding of debt financing products, investment and equity products, financial advisory services, and their impact on and relevancy to compliance operations. Resourceful, with demonstrated skill in managing multiple concurrent priorities and deadlines. Strong analytical, written, and oral communication and problem-solving skills. Master's or Law degree.
Deputy Compliance Leader Financial Services
GE Vernova's Ethics & Compliance Team is seeking an experienced regulatory compliance professional that will partner with GE Vernova's Financial Services ("FS") business. The Deputy Compliance Leader Financial Services will develop, implement, and maintain controls designed to prevent, detect, and respond to compliance risk connected to FS' project development activities. The Deputy Compliance Leader will also be responsible for strategically and operationally executing compliance obligations arising from FS' regulated entities in the US, UK, and globally. The role will be based in New York, NY, or Stamford, CT, and will report to the Enterprise Development, Growth & Excellence ("EDGE") Chief Compliance Officer in New York, NY.
Essential Responsibilities
Development Compliance Risk Management : Partner with FS' commercial resources and subject matter experts in the delivery of a robust compliance program for commercial energy finance transactions, particularly those involving financing of early to late-stage energy project development.
- Due Diligence : Assess customers, joint venture partners, and third parties, including those conducting business in high-risk jurisdictions, to identify potential integrity and ethical concerns, and reputational harms.
- Enhanced Due Diligence : Execute enhanced due diligence, monitoring, and oversight to ensure adherence to Anti-Bribery-Anti-Corruption, Economic Sanctions, and Anti-Money Laundering / Know-Your-Customer laws, regulations, company standards, and leading practices.
- Executive Communication & Buy-In : Provide clear, actionable recommendations aligned to the strategic risk profile of the company to the EDGE Chief Compliance Officer and commercial resources.
- Risk Assessment : Demonstrate strategic leadership assessing the materiality and relevancy of identified integrity and compliance risks, and, in partnership with commercial resources, develop written procedures and risk-based controls designed to help prevent, detect, and respond to development-related compliance risk.
Regulatory Compliance Adherence : Execute an effective risk-based compliance program across FS' global regulated business activities, products, and services.
Effective Governance and Compliance Insights : Partner with the broader compliance function to support various compliance initiatives aimed at advancing, maturing, and modernizing the company's compliance program. Assist the EDGE Chief Compliance Officer in the development of KPIs, KRIs, and reporting packages utilized to inform management of priorities, risks, and corrective actions.
Required Qualifications
Desired Characteristics
Compensation : The starting base pay range for this position is $170,000 to $210,000. The specific pay offered may be influenced by a variety of factors, including the candidate's experience, geographical location, education, and skill set.
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