Chief Compliance Officer -Structured Products, Private Placements
Posted on Jan 24, 2019 by The Compliance Search Group, LLC
The candidate will report to the Global Head of Compliance.
The position will lead a dedicated compliance team of 3-4, which in collaboration with corporate compliance staff, covers an international employee base of a few hundred associates. The compliance team is engaged in code of conduct control procedures, fund marketing and distribution reviews, regulatory risk assessments and controls testing, governance activities and continues to expand its role in other governance and monitoring activities.
This position has significant visibility with senior management and direct interaction with global portfolio management, distribution and operations.
The position will also support the Global Head of Compliance with cross-business initiatives and compliance projects across the company's other global business units in collaboration with their chief compliance officers. This company's global business units include public, private, and alternative fixed income; fundamental and quantitative equity; global multi-asset solutions; commercial real estate; commercial and agricultural real estate finance; and U.S. and international retail mutual fund manufacturing and distribution.
Responsibilities will include:
- Oversee investment adviser compliance program for the capital group & investment advisor, including both their U.S. and international offices;
- Oversee global compliance program in conjunction with compliance staff in the capital group's non-US jurisdictions;
- Supervising and developing compliance staff;
- Promote the company's reputation for ethics and integrity;
- Reporting on compliance program issues to capital group senior management;
- Monitor business activities through established compliance processes and controls;
- Develop strong control procedures that integrate with business activities;
- Interface with senior management in all functional areas and governance committees;
- Promote strong relationships with legal and operational risk partners;
- Contribute to compliance training for business associates;
- Implement new policies and procedures in partnership with Corporate and Global Investment compliance.
- Manage a comprehensive regulatory risk assessment process and controls testing;
- Recommend control enhancements and operational efficiencies;
- Support internal and external audits;
- 10+ years of investment adviser compliance program experience, including risk assessments and self-examination under Rule 206(4)-7;
- Experience supporting private fixed income investments and private funds;
- Development and implementation of technology solutions to strengthen controls;
- Ability to work independently with senior business management;
- Evidenced senior level presentation skills;
- Strong written and verbal communication skills;
- Excellent time management skills with attention to detail;
- Strong interpersonal skills; ability to effectively negotiate with personnel at all levels;
- Demonstrated ability to manage conflicting priorities with varying deadlines,
- Bachelor's degree plus J.D. or professional designation (such as a CFA) is a plus,
- Advanced knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, and Securities Exchange Act of 1934 is required,
- Experience with other rules and regulations under ERISA, CFTC and FINRA a plus