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Job ID Number: 1262706277
Please reference this Job ID number in any communication you may send.
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| Job Category: |
Compliance Manager |
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| Job Title: |
Investment Management Compliance Testing Group - VP |
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| State/Location: |
New York, NY |
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| Recruiter Name: |
Jack Kelly |
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| Recruiter Email: |
JKelly@ComplianceSearch.com |
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| Description: |
Our client, a top-tier global investment bank, seeks a Vice President for their Investment Management Compliance Testing Group to create and conduct testing and reviews of effectiveness of Private Wealth Management and Asset Management supervisory, business and compliance functions.
Principal Responsibilities:
Understand the various business divisions and applicable policies and procedures and securities rules and regulations
Create detailed testing work programs to ensure compliance with regulatory local regulations and firm policies.
Execute the testing.
Document the testing performed, observations and action items as applicable in organized work papers.
Communicate observations to senior compliance management.
Monitor the implementation of action items as applicable.
Various compliance projects and ad hoc requests.
Experience/Skills:
Audit, technology or compliance surveillance experience preferred.
Industry knowledge and 4-8 years of relevant experience preferred.
Knowledge of rules and regulations preferred including SEC, SRO rules and Regulations and the Investment Advisers Act of 1940.
Ability to review regulations/ firm policy and format into testing work programs
Proficiency in all Microsoft Office applications including Word, Excel and Powepoint.
Ability to work effectively with both junior and senior personnel across various departments (including compliance, legal, operations, technology and business).
Ability to travel.
To apply please submit your resume to Jack Kelly - JKelly@ComplianceSearch.com
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