Legal & Corporate Compliance Officer (Financial Services)

Coda Search│Staffing; New York (NY); On-site; USD 175,000 - 245,000; Full time

Job summary

A leading staffing company is seeking a Senior Compliance Officer for a reputable Financial Services firm. The role involves overseeing compliance initiatives, collaborating with various departments, and ensuring adherence to regulatory requirements while managing a global compliance program. Ideal candidates will have a strong background in compliance, ethics, and SEC regulations.

Qualifications

• Bachelor's degree from an accredited college or university.
• Minimum 5+ years related professional experience in Compliance/Legal.
• In-depth understanding of SEC regulations and Investment Advisers Act.

Responsibilities

• Oversee new initiatives targeting process improvement and compliance.
• Provide timely and accurate advice on compliance matters to relevant departments.
• Conduct regular corporate compliance assessments and develop metrics.

Skills

Data Analysis

Compliance

Ethics Initiatives

Communication Skills

Education

Bachelor's degree

Tools

Microsoft Excel

Microsoft PowerPoint

Job description

Legal & Corporate Compliance Officer (Financial Services)

This range is provided by Coda Search│Staffing. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$175,000.00/yr - $245,000.00/yr

One of our highly reputable Financial Services clients currently seeking to add a Senior Compliance Officer (VP/Principal level) to their growing global Compliance Team. Ideal candidate will report directly to the firm’s Chief Compliance Officer and sit in the #2 compliance position within the firm. The VP of Compliance will work closely with the Finance team, CHRO, legal team, and other departments in collaboration with compliant operations of the firm as it continues to grow.

Essential Functions:

• Oversee new initiatives targeting process improvement, and highlighting potential policies and procedures changes
• Assist with day to day global compliance and ethics program, governance and continued improvement of appropriate programs, including but not limited to data privacy, sanctions, controls, and ethical business practices
• Provide timely and accurate advice on compliance matters to all relevant departments and divisions within the organization.
• Conduct regular periodic corporate compliance assessments assess the effectiveness of the compliance program through the development and deployment of metrics and analytics, including benchmarking against other applicable organizations.
• Address questions from operational staff about regulations and training program development as needed for understanding industry regulations and best practices.
• Revise all marketing materials and activities for compliance with regulatory requirements
• Daily monitoring of Trading related guidelines and communicate necessary details to various business units including: Investment Team, Compliance, and Trading Operations
• Ensure that the Code of Conduct and other compliance policies remain effective and up-to-date.
• Review and test personal trading activities for compliance with regulations and the Code of Ethics
• Assist in researching and responding to comments and/or inquiries received from regulators
• Review and test personal trading activities for compliance with regulations and the Code of Ethics
• Develop and implement plans to manage compliance violations effectively while minimizing potential impact.
• Preparing investment related presentations for senior management and firm principals
• Assist with special projects, as requested.

QUALIFICATIONS:

• Bachelor’s degree from an accredited college or university
• The candidate will have a demonstrated ability to analyze data and be able to present findings to the managerial level personnel.
• In-depth understanding of SEC regulations and the Investment Advisers Act.
• Proven ability to build strong relationships with key stakeholders to drive the adoption of compliance and ethics initiatives
• Minimum 5+ years related professional (Compliance and/or Legal) experience (Asset Management/Hedge Fund/Private Equity/ Fund Administration or similar)
• Intermediate to Advanced Microsoft Excel/PowerPoint skills are required.
• Effective oral and written communication skills and ability to listen effectively.

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Legal and Project Management

• Industries

  Investment Management, Financial Services, and Venture Capital and Private Equity Principals

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