Senior Compliance Officer - Global Investment Management
Job Identification Number: 780
Location: New York, NY
Job Type: Direct Hire
Job Category: Financial Services
Qualified candidates, please attach resume when applying.
Large Global Investment Manager seeks a Senior Compliance Officer with Front Office Advisory experience responsible for a wide range of issues with a focus on international activity and regulations.
This includes:
Managing a broad spectrum of regulatory obligations and restrictions for investments/trading and operational activities, as well as new business initiatives and product approvals across public and private markets; Monitoring the regulatory and enforcement landscape and identify the applicable regulatory requirements in the Americas region, particularly in the U.S., and updating management and stakeholders of the corresponding impact of the regulatory requirements; Engaging external legal counsels to clarify the applicable regulatory requirements and restrictions; Formulating and performing a periodic review of key Compliance policies and controls to ensure that they remain robust and in line with regulatory standards and industry/peer best practices, including policies on Information Barrier/Chinese Wall Policy, Financial Crimes Compliance Framework, Conflicts of Interest Policy, Gifts and Entertainment Policy, and Policy on External Personal Activities and Personal Investments; as well as Conducting Compliance training and Collaborate with business units and other risk and control departments to address compliance and conduct issues, enforce policy violations.
The ideal candidate will have 8-12 years of total experience at a Investment Manager, Asset Manager or Hedge Fund.
Qualified candidates should send resumes to ws@rockwood-search.com. Please put your Name and “Senior Compliance Officer – Front Office Advisory” in the subject line and attach your resume as a Word doc or PDF. Also include contact information, salary requirements, and any applicable information in the body of the email.
Salary: $150,000 - $225,000 base