Director, Product Compliance Officer recruitment
Core accountabilities:
- Provide compliance and regulatory advice regarding the design, development of a broad range of products sold by retail financial advisors, including: structured products, derivatives, mutual funds, closed-end funds, exchange traded funds, alternative investments (hedge funds, private equity, managed futures, real assets), equity and debt offerings.
- Advise on product specific regulatory requirement, reasonable basis suitability, customer suitability requirements, supervisory controls procedures, communication with clients, training, and compliance and control testing.
- Represent Compliance Department on new product launches
- Manage a team of 3 compliance professionals with specific product coverage.
- Work closely with the compliance monitoring testing team to ensure effectiveness of controls. .
- IR sales force and support teams. .
- Excellent understanding regulatory control framework.
- Detailed product knowledge regarding: structured products, derivatives, EFT and alternative investments, among others.
- Experienced in broker/dealer compliance.
- Excellent verbal, written and communication skills
- Ability to influence positive outcomes across a wide variety of business areas
Person Requirements
Basic Qualifications:
BA/BS degree is required.
10 + years of compliance experience.
5 + years of working experience in regulatory.
2 + years of experience in developing appropriate risk-based solutions.
Strong knowledge of all rules applicable to structured products, derivatives, EFT and alternative investments.
Strong experience in managing relationships with key stakeholders.
Preferred Qualifications:
• Excellent organizational, negotiating and inter-personal skills; should be solutions driven, confident, highly motivated and organized team player with utter integrity;
• Ability to act decisively and independently in situations requiring quick analysis and decision making;
• Excellent communication skills; previous experience in report writing.