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Employee Trading, Registration, Outside Activities: Associate and Manager positions (2 Positions)
at Compliance Search Group in New Jersey
Investment bank seeks two professionals for their Compliance division.
1. Compliance Associate
The person will be responsible for overseeing employee-related compliance matters such as registrations, and the review and approval of employees’ outside brokerage accounts, private investments, outside interests, political contributions, government contracts and gifts and entertainment.
Principal Responsibilities
You will have primary responsibility for Outside Interests, Private Investments, Directorships and Trade Pre-clearance.
Responsibilities across these functions include:
• Daily review of employees’ requests to pursue private investments and outside interests
• Provide guidance to internal clients on appropriate application of existing policy
• Analyze and enhance procedures and systems to improve controls and productivity
• Provide advice and review requests for exceptions
• Maintain policies and procedures
• Respond to internal and regulatory audits
• Assist in the training of new hires during orientation on firm policies.
• Stay current on regulatory changes.
• Develop and monitor reports and metrics to monitor functions at several levels.
2. Compliance - VP, Global Compliance
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Principal Responsibilities
As a VP you will have primary managerial responsibility for the global coordination of Private Investments, Outside Interests, Directorships, and Trade Pre-clearance. Responsibilities across these functions include:
• Provide advice and review requests for exceptions
• Escalate matters to senior compliance officers and business unit managers
• Daily review of employees’ requests to pursue private investments and outside interests for political conflicts of interest
• Maintain a high level of communication between employees and Compliance in all regions globally
• Prepare relevant policies and procedures
• Identify and address training needs
• Develop management reports and presentations related to these functions
• Analyze and enhance procedures and systems to improve control and productivity
• Respond to internal and regulatory audits and inquiries
• Stay current on regulatory changes
Qualifications
• JD or MBA or relevant compliance experience (5 years or more)
• Excellent writing and verbal skills
• Strong analytical, organizational, and project management skills
• Excellent interpersonal skills
• Management experience
• Excellent judgment
• Interest in financial markets and securities laws
Please email resumes to Jack Kelly at jkelly@ComplianceSearch.com
Published at 06-07-2010
Viewed: 11 times
Viewed: 11 times