This job ad has been posted over 40 days ago...
CCO Fixed Income Investment Manager
at The Compliance Search Group in New Jersey
Currently firm seeks a Chief Compliance Officer for its Fixed Income Management business. Fixed Income division has $200 billion in assets under management. Firm offers both traditional and alternative fixed income strategies, with an emphasis on credit-related strategies.
This position will be responsible for the division Compliance Program and will be expected to lead the seasoned fixed income compliance team. This will include providing on-going compliance related support and advice to the day-to-day activities as well as new initiatives. The role has responsibility for compliance monitoring, support of marketing activities, compliance training, implementing new policies and procedures, and forensic testing.
The incumbent will play a key management role within the firms Compliance organization and assist Compliance management in the overall activities of the unit. The incumbent will lead projects that strengthen and maintain compliance activities within the Investment Management businesses and more broadly across the organization.
To apply please submit your resume to Michael Lane - MLane@ComplianceSearch.com
Principal Responsibilities
• Promote, protect and set the tone to reflect the Company’s reputation for ethics, integrity and honesty in all dealings.
• Work with all levels of firm management to ensure that appropriate regulatory processes and controls are established and documented within the areas of responsibility.
• Monitor the effectiveness of established compliance processes and controls and recommend and implement enhancements.
• Assist management with identifying and resolving regulatory issues both within the business unit and across multiple business units.
• Assist regulators, auditors and business unit management with regulatory exams and inquiries.
• Provide Compliance support for new product initiatives.
• Develop, organize, and deliver consistent compliance related training, and reinforce all compliance-related communications.
• Assist in coordinating global compliance activity among the offices around the world.
• Partner with the law department to analyze changes to regulatory requirements and proactively manage regulatory developments and changes.
Position Qualifications
• Bachelor's degree
• Advanced degree a plus
• Strong Leadership qualities
• Ten plus years of compliance experience, primarily investment management organization
• Fixed income experience strongly desired.
• Proven communication, analytical and project management skills.
• Strong relationship management and leadership skills are desired including experience and ability in dealing with senior management.
• Ability to reach sound judgments and act quickly under tight deadlines.
• Experience in staff management
• Working knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940; other securities laws; the applicable rules thereunder; ERISA.
To appy please submit your resume to Michael Lane - MLane@compliancesearch.com
This position will be responsible for the division Compliance Program and will be expected to lead the seasoned fixed income compliance team. This will include providing on-going compliance related support and advice to the day-to-day activities as well as new initiatives. The role has responsibility for compliance monitoring, support of marketing activities, compliance training, implementing new policies and procedures, and forensic testing.
The incumbent will play a key management role within the firms Compliance organization and assist Compliance management in the overall activities of the unit. The incumbent will lead projects that strengthen and maintain compliance activities within the Investment Management businesses and more broadly across the organization.
To apply please submit your resume to Michael Lane - MLane@ComplianceSearch.com
Principal Responsibilities
• Promote, protect and set the tone to reflect the Company’s reputation for ethics, integrity and honesty in all dealings.
• Work with all levels of firm management to ensure that appropriate regulatory processes and controls are established and documented within the areas of responsibility.
• Monitor the effectiveness of established compliance processes and controls and recommend and implement enhancements.
• Assist management with identifying and resolving regulatory issues both within the business unit and across multiple business units.
• Assist regulators, auditors and business unit management with regulatory exams and inquiries.
• Provide Compliance support for new product initiatives.
• Develop, organize, and deliver consistent compliance related training, and reinforce all compliance-related communications.
• Assist in coordinating global compliance activity among the offices around the world.
• Partner with the law department to analyze changes to regulatory requirements and proactively manage regulatory developments and changes.
Position Qualifications
• Bachelor's degree
• Advanced degree a plus
• Strong Leadership qualities
• Ten plus years of compliance experience, primarily investment management organization
• Fixed income experience strongly desired.
• Proven communication, analytical and project management skills.
• Strong relationship management and leadership skills are desired including experience and ability in dealing with senior management.
• Ability to reach sound judgments and act quickly under tight deadlines.
• Experience in staff management
• Working knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940; other securities laws; the applicable rules thereunder; ERISA.
To appy please submit your resume to Michael Lane - MLane@compliancesearch.com
Published at 05-03-2010
Viewed: 24 times
Viewed: 24 times