~~Applicant should be a seasoned compliance professional with at least 10-15 years of compliance experience within an asset management organization. Individual should have at least 5 years providing direct supervision.
The applicant should be able to not only provide oversight in the following areas but also be responsible for strategic direction. Coaching and mentoring of the team is a priority.
Primary Oversight Responsibilities:
Code of Ethics and Personal Trading Compliance program o Preclearance, Post Trade Monitoring and Employee Certifications o Outside Business Activity reviews
Other Employee Conduct & Regulatory policies o Gifts & Entertainment o Pay to Play o Lobbyist Registration & Reporting o AML o Anti-Bribery/Anti-Corruption, including FCPA
SEC and other regulatory filings (13f, 13g, Form S, ADV offer, etc.)
Annual Compliance Training
Marketing Material Review o Ensure compliance with internal guidelines, investment advisor rules, GIPS standards, and FINRA where applicable
FINRA rules for our Office of Supervisory Jurisdiction (OSJ)
Work with other compliance and legal professionals to keep current our Compliance policies and evolve or create new policies based on new business or regulatory changes.
Present at client and prospective due diligence meetings.
Minimum of 10 years compliance experience with at least 5 years' experience working with an investment management firm
Supervisory experience is required and strong people management skills.
Understanding of Investment Advisor's Act of 1940
Knowledge of Global Investment Performance Standards (GIPS)
Excellent written and oral communication skills with ability to interface with and influence senior management as well as other peers and colleagues.
Established ability to multi-task, prioritize and organize time effectively in a fast-pace environment with changing deadlines.
Demonstrates strong analytical skills and attention to detail consistently.
Strong ability to provide performance feedback and articulate actionable advice to help develop team.
Strong ability to develop effective working relationships with investment staff and make articulate recommendations to department managers regarding potential solutions to issues