Description
A global asset management firm is seeking a leader for its Global compliance group, responsible for building a world-class and industry-leading global asset management compliance program. Value will be delivered through managing regulatory risk for our external and internal clients, and our business partners.The VP will act as the central interface with the Fixed Income Division, engaging with the business to work proactively with senior leaders in Fixed Income and to ensure adequate coverage of all compliance related activities. The VP will support the CCO with subject matter expertise and judgment with respect to the identification and assessment of compliance issues and remediation.
Responsibilities:
- Coordinate the delivery of compliance-related services to the Fixed Income group.
- Ongoing evaluation and design of the funds' and advisors' compliance program, and remediation of compliance related errors as it responds to a changing operating environment.
- Assist in Fund Board related activities on behalf of the CCO including material preparation, inquiry responses, investigations, and reporting.
- Assist in strategy development for the compliance program
- Establish a framework for the development of operating policies, management reporting, and assessment plans.
Qualifications:
- Bachelor's degree required; JD or other post-graduate degree or CFA/CPA is preferred.
- 15+ years financial services experience with a preference for a background in asset management. Experience may include regulatory experience, auditing, or practicing law.
- Demonstrated knowledge of compliance and the regulatory industry.
- Strong knowledge of the Investment Company act and the '40 Act, as well as international regulatory requirements in the investment company and investment adviser areas strongly preferred.
- Strong communications and influencing skills are required.
- Strong presentation and personal skills.
- Must be a strategic thinker and a collaborative implementer.
Please contact Matthew Gallira with Huxley Associates for further detail.
To find out more about Huxley Associates please visit www.huxley.com