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Compliance VP - Outside Accounts, Private Investments, T
- Company Name Top Tier Investment Bank
- Location New York, NY
- Date Posted 11/01/2009
- Job Type Full-Time
- Compensation $100K +
Job 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 at compliancesearch.com, Direct Number: 212-997-3166
The Compliance Search Group is the oldest, largest and most respected global search firm focused on the placement of Compliance, Legal, Risk Management, Audit, Credit, Accounting, Financial Controls and Regulatory professionals.
The Compliance Search Group offers:
• Recruiting
• Temporary to Long Term Consultants
• Job Board Postings
• Management Consulting
Direct: 212 997 3166 | Email: jkelly at compliancesearch.com
1001 Avenue of the Americas 24th floor, New York, NY 10018
Website: www.ComplianceSearch.com and www.CompliancEX.com
Compliance | Legal | Regulatory | Accounting | Audit | Risk Management | Operational Risk I Counterparty Credit | Financial Controls
Job Requirements
Not Specified Years
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