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Kendal Ridgeway
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Postings@CareersOnTheMove.com
Position: Compliance Director
Location: New York NY
Salary: $100,000-$150,000 Salary + Bonus
Responsibilities:
Our client, a growing brokerage and financial software company seeks a Compliance Manager to develop, lead and enforce the compliance effort company wide.This candidate will have a minimum of 5-10 years compliance experience within a financial, trading environment. The candidate must have experience establishing policies & procedures, advising departments, and have worked through NASD audits.
Serve a critical role in establishing procedures, leading, and managing many of the substantive Compliance issues arising from the business and/or Compliance to ensure the state of compliance risk across the organization is low.
Play a significant role in consulting and guiding business areas in the application of compliance laws and regulations.
Consult with leaders in trading, technology and other business units to articulate Compliance Risk strategy, tools and methodologies.
Inform Business Areas of the requirements of laws and regulations that they must comply with and provide support and advice on the application of compliance Requirements (e.g. Corrective action, New Product or Process Development, Change in Law or Regulatory Environment)
Approve all business initiatives and processes that require compliance approval ` Perform risk assessments, Analyze process documentation, flow, and results vs. regulatory compliance requirements.
Establish and Manage compliance policies & procedures; and when & where these policies and procedures are required in business areas.
Work closely with in-house Legal Staff to ensure adequacy of communication between business leaders.
Interact with Regulatory Examiners and Auditors during formal auditsEducation and Related Experience o Bachelor`s Degree in Finance, Accounting, Business Administration or related degree, or equivalent work experience.
Master`s degree preferred.o 10+ years compliance experience in a financial institution with experience in laws and regulations applicable to financial institutions and consumer lending o Certified Regulatory Compliance Manager, Certified Anti-Money Laundering Specialist, or other similar certification a pluso Background in Auditing or Risk Management, preferredSkills and Abilities:
- Ability to work independently while liaising with many different groups/individuals
- Solid interpersonal skills and relationship building, including team building
- Excellent oral and written communication skillso Ability to manage multiple concurrent activities in a timely manner and drive to completion
- Ability to collaborate across areas of the company
- Ability to independently execute projects
- Ability to develop and motivate associates in an expanding organization
posted by Victor Lloyd Smith @ 10:44 PM
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