Chief Compliance Officer

Location New York
Contact name: John Nestor

Contact email: john.nestor@greshamhunt.com
Job ref: 722
Published: 17 days ago

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.

 

 

 

The role:

 

 

 

  • 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.