Investment Management Compliance Director

Boston  ‐ Onsite
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Keywords

Description

The Investment Management arm of a global investment bank is seeking a Director-level Compliance Officer, responsible for oversight of the Capital Management and US Trust lines of business.

This individual will influence and ensure accountability for risk-informed compliance elements, maintaining independent compliance oversight of business and vendor performance. As a senior member of the Compliance group, the Director must exercise judgment and influence in interactions with senior leadership to develop, implement, and communicate the group's mission, goals, and strategies. He or she must also manage the relationships with regulatory agencies, external consultants, and other internal risk management groups.

Responsibilities:
  • Manage a team responsible for all investment compliance program functions and activities supporting the bank's Capital Management arm.
  • Provide advice and guidance for complying to securities laws and regulations.Serve as the designated compliance officer for CM's offshore funds and maintain this relationship with the Board of Directors of the funds and their sponsor.
  • Act as a leader with associates at all levels of the organization, as well as clients, service providers, government regulators, outside legal counsel


Qualifications:
  • Manage projects related to the enhancement of the CM and enterprise-level compliance programs.
  • Represent the Compliance group at internal governance committees (e.g., trading, valuation, investment, credit, etc.)
  • Lead in assisting the CCO in preparing a wide range of quarterly and annual reports required under various regulatory authorities.
  • Strong attention to detail, as well as analytical and communication skills.


To find out more about Huxley Associates please visit www.huxley.com
Start date
06/2013
From
Huxley Associates
Published at
24.05.2013
Project ID:
541174
Contract type
Permanent
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