Gresham Hunt are a specialist recruitment firm with offices in London, New York & Amsterdam. We operate across the Financial Services industry supporting some of the most recognisable and exciting brands globally recruiting across the Corporate Governance spectrum.
We have been retained by a growing Asset Management firm who are seeking to appoint a Chief Compliance Officer to lead and develop their Global Compliance division.
- Manage the compliance program for the Firm which will include implementation of existing policies and design of new programmes.
- Ensure compliance with all federal and state laws governing the business, and have had experience engaging and facing off to FINRA,
- Work with counsel and industry trade groups to stay ahead of the curve on relevant laws and monitor pending legislation.
- Work with company’s project management, legal and IT teams to ensure data and privacy compliance.
- Work with legal and business teams and senior management to proactively address compliance concerns.
- Perform periodic risk assessments and compliance reviews and audits, including formal CMS controls and testing procedures.
- Update and disseminate company policies and procedures.
- Oversee compliance program and periodically report to the President or other senior officers as the Company may designate.
- Act as liaison with governmental agencies on regulatory and compliance matters, as needed.
The successful candidate:
- 10+ years of compliance experience in the private sector with a financial institution, preferably swap dealer / broker dealer experience
- Knowledge of laws and related compliance issues as set out by FINRA / SEC
- Familiarity with bank regulatory issues and laws governing financial institutions face with company’s project management and IT groups on data and privacy matters.
- Ability to interface effectively with all of: company business teams, senior management and both in-house and outside counsel on regulatory and compliance issues.
- Strong analytical, communication and project management skills.
- Ability to work independently and take the initiative and full ownership of the role.
- Compliance certifications/credentials a plus.