078034 - Manager, US Compliance LOCATION: Jericho, LI, NY (11753) TRAVEL 10%
This is a retained Executive Search; our client is a Major Financial organization with offices headquartered in NYC, looking for a Manager, US Compliance to work out of the Jericho, NY location. If you are interested please submit your resume and I will respond ASAP.
POSITION DETAILS
Salary Range: $170K to 180K + $50k
Best Industry: Asset Management
Best Department: Compliance-Financial Specialty
Reports to: Chief Compliance Officer
Travel: 10%
5-10 years of experience
No sponsorship available/No relocation available
4 year degree
Oversee and manage the U.S. compliance function, including managing full time professionals
Oversee and manage the Compliance Program (including oversight of firm-wide compliance with the Personal Securities Trading Policy as well as Compliance Manual
Administer Compliance training to the staff (in-person and written)
Oversee the successful operation of the AML program (including signoff on investor subscription agreements)
Liaise with BNYM Risk and Compliance staff on various projects
CCO for our client’s Registered Fund
Oversee and manage the licensing of salespeople and FINRA compliance for non-supervisory branch offices
Ensure timely filings and compliance with regulatory requirements
Review fund and client account activity to detect any potential compliance issues
Oversee and manage regulatory exams as well as periodic internal audits
Advise management and staff of potential issues and provide alternative solutions
Oversee and manage the approval process for new products and marketing, advertising, and communications materials to ensure compliance with regulatory requirements
Prepare documentation and respond to internal and/or external compliance questions
CANDIDATE MUST HAVE:
Minimum 5 years compliance experience including strong, proven managerial experience
Experience with the Investment Advisers Act
Bachelorˇ¦s Degree or equivalent required
Graduate degree, law degree and/or CPA is a plus
Proven leadership, Team player, Self starter, Ability to work independently, Multi-task |
