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Job ID Number: 1256140968
Please reference this Job ID number in any communication you may send.
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| Job Category: |
Hot Jobs |
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| Job Title: |
Compliance VP- Outside Accounts, Private Investments, Trade Pre-Clearance |
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| State/Location: |
New York Tri State Area |
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| Recruiter Name: |
Jack Kelly |
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| Recruiter Email: |
JKelly@ComplianceSearch.com |
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| Description: |
Top-tier investment bank seeks a Compliance Officer at the VP Level to oversee outside accounts, private investments, outside investments, Directorships and trade pre-clearance.
Responsibilities include:
Daily review of employees requests to pursue private investments, outside interests and hold outside brokerage accounts. Provide guidance to internal clients on appropriate application of existing policy.
Manage a global team and coordinate with divisional compliance.
Analyze and enhance procedures and systems to improve controls and productivity.
Provide advice and review requests for exceptions to firm policy and escalate as appropriate to relevant divisional compliance officers and business unit managers.
Maintain policies and procedures.
Respond to internal and regulatory audits.
Escalate cases that fall outside firm policy to relevant divisional compliance officers and business unit managers.
Train new hires during orientation on firm policies.
Stay current on regulatory changes.
Develop reports and metrics to monitor functions at several levels.
You will also have secondary responsibility for other functions such as Gifts and Entertainment and Political Contributions.
To apply please submit your resume to:
Jack Kelly of The Compliance Search Group, JKelly@ComplianceSearch.com , Direct Number: 212-997-3166
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